JW
John D. Williams
U.S. BANCORP INVESTMENTS
Rapid City, SD 57701
Some features on this profile are disabled
CRD#: 4128653
JW
Professional summary
John Douglas Williams, CFP®, who also goes by J.d. Williams, Jd Williams, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Rapid City, South Dakota.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J.d. Williams | Jd Williams
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.
1) Sturgis Economic Development Corporation; Not Investment-Related; Sturgis, SD; Not for profit economic development; Vice Chair; 2018; 02 hours/month; 0 hours/trading; Member of board elected by the membership. As Vice Chair, run the meeting in absence of Chair person. 2) Monument Health Foundation; Not Investment-Related; Rapid City, SD; Charitable; Board Member; 2022; 0.25 hours/month; 0 hours/trading; Attend quarterly Foundation Board Meetings. 3) Sturgis Scooper Booster Club; Not Investment-Related; Sturgis, SD; Support High School Activities; Board Member; 09/01/2021; 1 hour/month; 0 hours/trading; Board member. Vote on items like support levels of sports programs, scholarships to students, organize senior recognitions, etc. 4) Grace Lutheran Church; Not Investment-related; Sturgis, SD; Religious; Committee Member of the Endowment Committee; 06/2021; 0 hours/month; 0 hours/trading; Once per year, meet to determine income availability and review applications for awards from the Endowment Fund. 5) Monument Health - Network Board; Not Investment-related; Sturgis, SD; Hospital; Volunteer Board Member; Board Member; 09/2023; 0.25 hours/month; 0 hours/trading; Attend bi-monthly board meetings. Represent the community of Sturgis on the board. 6) Sturgis Strategic Housing Trust Fund Advisory Board - BH Area Community Foundation; Not investment-related; Sturgis, SD; Advisory Board; Board Member; 07/2024; 1 hours/month; 0 hours/trading; Review applications for housing projects, make recommendations to BHACF. 7) Black Hills Area Community Foundation; Not investment-related; Rapid City, SD; Non profit; Board member; 01/2025; 1 hour/month; 0 hours/trading; Board member, help create direction for staff and vote on decisions at the board level like grant decisions, programming, etc.
CRS (Client Relationship Summary) - RIA
Click below to view John Douglas Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Douglas Williams'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®
CFP®
Start date: 2012
Experience
Current
July 31, 2019 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 701 Saint Joseph St, Rapid City, SD 57701Office #2: 509 S Douglas Hwy, Gillette, WY 82716Office #3: 645 Mountain View Rd, Rapid City, SD 57702RIA
BD
CRD#: 17868
Rapid City, SD
Current
July 15, 2019 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 701 Saint Joseph St, Rapid City, SD 57701Office #2: 509 S Douglas Hwy, Gillette, WY 82716Office #3: 645 Mountain View Rd, Rapid City, SD 57702RIA
BD
CRD#: 17868
Rapid City, SD
Past
December 1, 2016 - July 18, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
STURGIS, SD
Past
November 29, 2016 - July 18, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
STURGIS, SD
Past
January 21, 2014 - November 29, 2016
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
STURGIS, SD
Past
December 8, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
STURGIS, SD
Past
December 8, 2006 - November 29, 2016
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
STURGIS, SD
Past
January 3, 2006 - December 15, 2006
FINTEGRA, LLC
RIA
CRD#: 16741
LARAMIE, WY
Past
November 6, 2001 - December 15, 2006
FINTEGRA, LLC
BD
CRD#: 16741
LARAMIE, WY
Past
July 3, 2000 - June 11, 2001
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
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 INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 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
Arizona(8/26/2019)
RR
Arkansas(11/10/2021)
RR
California(10/14/2025)
RR
Colorado(8/26/2019)
RR
Connecticut(9/15/2020)
RR
Florida(8/26/2019)
RR
Iowa(7/31/2019)
RR
Kansas(8/18/2021)
RR
Michigan(8/28/2025)
RR
Minnesota(1/28/2020)
RR
Missouri(5/19/2025)
RR
Montana(7/17/2019)
RR
Nebraska(7/12/2023)
RR
New Mexico(10/28/2019)
RR
North Dakota(12/6/2022)
RR
South Dakota(7/15/2019)
IAR
South Dakota(7/31/2019)
RR
Texas(8/26/2019)
IAR
Texas(6/12/2024)
RR
Utah(8/26/2019)
RR
Virginia(10/28/2019)
RR
Washington(9/11/2025)
RR
Wyoming(7/17/2019)
Exams
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 INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Rapid City, SD 57701TRUST BUT VERIFY
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