HS
Harold D. Smith
U.S. BANCORP ADVISORS
Phoenix, AZ
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CRD#: 4094105
HS
Harold Don SmithU.S. BANCORP ADVISORS
Professional summary
Harold Don Smith, who also goes by Harold D Smith, Harold Don Smith Jr, Harold Smith, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Phoenix, Arizona.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Harold has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Aliases
Harold D Smith | Harold Don Smith Jr | Harold Smith
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
George Washington Carver Museum; Not Investment-related; Phoenix, AZ, Preserve and share historical artifacts and documents of African/Black American heritage.; Non-profit organization board; 07/01/2026; 8 hours/month; 0 hours/trading; Assist the museum in planning and curating events and exhibits.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Don Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harold Don Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 8, 2023 - Present
U.S. BANCORP ADVISORS, LLC
Office #2: 1101 W Washington St, Tempe, AZ 85281RIA
BD
CRD#: 14455
Phoenix, AZ
Current
August 8, 2023 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 1101 W Washington St, Tempe, AZ 85281RIA
BD
CRD#: 14455
Tempe, AZ
Past
March 22, 2021 - August 8, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHANDLER, AZ
Past
March 22, 2021 - August 8, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHANDLER, AZ
Past
May 23, 2019 - February 26, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
PHOENIX, AZ
Past
February 6, 2019 - February 26, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
PHOENIX, AZ
Past
September 19, 2014 - January 31, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHANDLER, AZ
Past
August 13, 2014 - January 31, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHANDLER, AZ
Past
September 2, 2011 - July 21, 2014
OPTIONSXPRESS, INC.
BD
CRD#: 103849
PHOENIX, AZ
Past
June 5, 2000 - July 18, 2014
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/24/2024)
RR
Alaska(10/24/2024)
RR
Arizona(8/8/2023)
IAR
Arizona(8/10/2023)
RR
Arkansas(10/24/2024)
RR
California(8/8/2023)
RR
Colorado(10/24/2024)
RR
Connecticut(10/24/2024)
RR
Delaware(10/24/2024)
RR
District of Columbia(10/24/2024)
RR
Florida(10/24/2024)
RR
Georgia(10/24/2024)
RR
Hawaii(10/24/2024)
RR
Idaho(10/24/2024)
RR
Illinois(12/19/2023)
RR
Indiana(10/24/2024)
RR
Iowa(10/24/2024)
RR
Kansas(10/24/2024)
RR
Kentucky(10/24/2024)
RR
Louisiana(10/24/2024)
RR
Maine(10/24/2024)
RR
Maryland(10/24/2024)
RR
Massachusetts(10/24/2024)
RR
Michigan(10/11/2023)
RR
Minnesota(10/24/2024)
RR
Mississippi(10/24/2024)
RR
Missouri(10/11/2023)
RR
Montana(10/24/2024)
RR
Nebraska(10/24/2024)
RR
Nevada(1/31/2024)
RR
New Hampshire(10/24/2024)
RR
New Jersey(10/24/2024)
RR
New Mexico(10/24/2024)
RR
New York(10/24/2024)
RR
North Carolina(10/24/2024)
RR
North Dakota(10/24/2024)
RR
Ohio(10/25/2024)
RR
Oklahoma(10/24/2024)
RR
Oregon(10/24/2024)
RR
Pennsylvania(10/24/2024)
RR
Rhode Island(10/24/2024)
RR
South Carolina(10/24/2024)
RR
South Dakota(10/24/2024)
RR
Tennessee(1/14/2026)
RR
Texas(10/24/2024)
IAR
Texas(10/25/2024)
RR
Utah(10/24/2024)
RR
Vermont(10/11/2023)
RR
Virginia(10/24/2024)
RR
Washington(10/11/2023)
RR
West Virginia(10/24/2024)
RR
Wisconsin(10/24/2024)
RR
Wyoming(10/24/2024)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Ave Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Ave Ep-mn-n2wc, St. Paul, MN 55107
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
379
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| ARIAS, CARLOS ALONSO | MANAGER | 3174333 |
| BEJASA, EILEEN | MANAGER | 7002808 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER AND MANAGER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | MANAGER | 4120145 |
| FLOUM, JOEL IRA | MANAGER | 2405754 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MENACHER, EILEEN RENEE | MANAGER | 4929896 |
| ROLLAND, JODI THOMPSON | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER AND MANAGER | 5025315 |
| STEINER, STEPHEN WARD | CHIEF OPERATIONS OFFICER AND MANAGER | 2259345 |
| TRIPLETT, SHANE T | MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,992 |
| AUM (Assets Under Management) | $ 1,796,069,079 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
