JH
James P. Harlan
U.S. BANCORP INVESTMENTS
Cincinnati, OH 45226
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CRD#: 7415140
JH
Professional summary
James Paul Harlan Jr., who also goes by James Harlan, Jim Harlan, is a registered financial professional currently at U.S. BANCORP INVESTMENTS, INC. located in Cincinnati, Ohio and U.S. BANCORP ADVISORS, LLC located in Glendale, California.
James is registered as a RR (Registered Representative) and started their career in finance in 2022. James has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Harlan | Jim Harlan
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Paul Harlan Jr.'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
June 27, 2022 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 5065 Wooster Rd, Cincinnati, OH 45226RIA
BD
CRD#: 17868
Cincinnati, OH
Current
October 7, 2025 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 800 N Brand Blvd. 16th Floor, Glendale, CA, 91203RIA
BD
CRD#: 14455
Glendale, CA
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 (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(8/31/2022)
RR
Alaska(8/31/2022)
RR
Arizona(8/31/2022)
RR
Arkansas(8/31/2022)
RR
California(8/31/2022)
RR
Colorado(8/31/2022)
RR
Connecticut(8/31/2022)
RR
Delaware(8/31/2022)
RR
District of Columbia(8/31/2022)
RR
Florida(8/31/2022)
RR
Georgia(8/31/2022)
RR
Hawaii(8/31/2022)
RR
Idaho(8/31/2022)
RR
Illinois(8/31/2022)
RR
Indiana(8/31/2022)
RR
Iowa(8/31/2022)
RR
Kansas(8/31/2022)
RR
Kentucky(8/31/2022)
RR
Louisiana(8/31/2022)
RR
Maine(8/31/2022)
RR
Maryland(8/31/2022)
RR
Massachusetts(8/31/2022)
RR
Michigan(8/31/2022)
RR
Minnesota(8/31/2022)
RR
Mississippi(8/31/2022)
RR
Missouri(8/31/2022)
RR
Montana(8/31/2022)
RR
Nebraska(8/31/2022)
RR
Nevada(8/31/2022)
RR
New Hampshire(8/31/2022)
RR
New Jersey(8/31/2022)
RR
New Mexico(8/31/2022)
RR
New York(8/31/2022)
RR
North Carolina(8/31/2022)
RR
North Dakota(8/31/2022)
RR
Ohio(8/12/2022)
RR
Oklahoma(8/31/2022)
RR
Oregon(8/31/2022)
RR
Pennsylvania(8/31/2022)
RR
Puerto Rico(8/31/2022)
RR
Rhode Island(8/31/2022)
RR
South Carolina(8/31/2022)
RR
South Dakota(8/31/2022)
RR
Tennessee(8/31/2022)
RR
Texas(8/31/2022)
RR
Utah(8/31/2022)
RR
Vermont(8/31/2022)
RR
Virginia(8/31/2022)
RR
Washington(8/31/2022)
RR
West Virginia(8/31/2022)
RR
Wisconsin(8/31/2022)
RR
Wyoming(8/31/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2022
General Securities Representative ExaminationGeneral 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 (Los Angeles district office)
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Contact information
Main Address
800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
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.
Company Information
U.S. BANCORP ADVISORS, LLC
CRD#: 14455Cincinnati, OH 45226TRUST BUT VERIFY
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