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Richard James Harkless

U.S. Bancorp Advisors, LLC

Davis, CA

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Current Employers
U.S. Bancorp Advisors, Llc

60 Livingston Ave Ep-Mn-N2Wc, Saint Paul, MN 55107 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-02-13
  • CA RA
    APPROVED
    Since 2026-02-13

Branch Locations

304 F St, Davis, CA 95616 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of The West Sacramento CA 06/2015 01/2025
Bancwest Investment Services Sacramento CA 06/2015 01/2025
Lpl Financial Llc Sacramento CA 07/2023 01/2025
U.S. Bancorp Investments, Inc. Davis CA 01/2025 02/2026
U.S. Bank Davis CO 01/2025 Present
U.S. Bancorp Advisors, Llc Davis CA 02/2026 Present
Previous Registrations
  • 2025-01-28 → 2026-02-13
    U.S. Bancorp Investments, Inc.
    Davis, CA
    Santa Barbara, CA
    Davis, CA
  • 2023-07-19 → 2025-02-07
    Lpl Financial Llc
    Sacramento, CA
    Woodland, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Folsom, CA
  • 2015-08-21 → 2023-07-19
    Bancwest Investment Services, Inc.
    Sacramento, CA
    Sacramento, CA
    Folsom, CA
    Sacramento, CA
    Woodland, CA
    Sacramento, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-17
S63 Uniform Securities Agent State Law Examination 1997-03-15
  • S66 Uniform Combined State Law Examination
    2015-08-17
  • S63 Uniform Securities Agent State Law Examination
    1997-03-15
Other Names
  • Richard James Harkless
  • Richard James Harkless

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC
EDWARD JONES
WELLS FARGO CLEARING SERVICES, LLC

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GARY LEON COHEN
JOCZAN CHAVEZ
STEVEN J FRITH
FADILA HAMIDAT
DANIEL ROBERT CURRYWOOD
DAVID M MEAGHER
Chetan Patel

Other Offices

ARCHER POINTE WEALTH MANAGEMENT, LLC · DAVIS, CA
LPL FINANCIAL LLC · DAVIS, CA
CHARLES SCHWAB & CO., INC. · Davis, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · DAVIS, CA
FLYWAY ADVISORS · DAVIS, CA
J.P. MORGAN SECURITIES LLC · DAVIS, CA
EDWARD JONES · DAVIS, CA
WELLS FARGO CLEARING SERVICES, LLC · DAVIS, CA

More in Davis, CA

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