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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
TX RA APPROVED_RES 2026-02-13
WA RA APPROVED 2026-02-13
  • TX RA
    APPROVED_RES
    Since 2026-02-13
  • WA RA
    APPROVED
    Since 2026-02-13

Branch Locations

3710 Harbour Pointe Blvd Sw, Mukilteo, WA 98275 • United States

17305 Pacific Ave S, Spanway, WA 98387 • United States

5560 S Harbor Ave, Freeland, WA 98249 • United States

140 4Th Ave S, Edmonds, WA 98020 • United States

6460 Ne Bothell Way, Kenmore, WA 98028 • United States

302 S Meridian, Puyallup, WA 98371 • 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
Wells Fargo Advisors Llc Seattle WA 09/2016 11/2016
Wells Fargo Bank, Na Seattle WA 06/2011 07/2019
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 07/2019
U.S. Bancorp Investments, Inc. Edmonds WA 07/2019 02/2026
U.S. Bancorp Advisors, Llc Edmonds WA 02/2026 Present
Previous Registrations
  • 2019-07-29 → 2026-02-13
    Saint Paul, MN
    Seattle, WA
    Tacoma, WA
    Seattle, WA
    Bellevue, WA
    Kenmore, WA
    Freeland, WA
    Mukilteo, WA
    Edmonds, WA
    Puyallup, WA
    Oak Harbor, WA
    Burien, WA
    Puyallup, WA
    Puyallup, WA
    Spanway, WA
    Burien, WA
    Puyallup, WA
    Puyallup, WA
    Oak Harbor, WA
    Puyallup, WA
    Freeland, WA
    Kenmore, WA
    Mukilteo, WA
    Spanway, WA
  • 2016-12-16 → 2019-07-31
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
Other Businesses

Rental Property; investment-related; Seatac, WA; Rental Property; Owner/Landlord; 6/2017; 1 hour/month; 0 hours/trading; landlord duties.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-16
S63 Uniform Securities Agent State Law Examination 2016-11-16
  • S65 Uniform Investment Adviser Law Examination
    2016-12-16
  • S63 Uniform Securities Agent State Law Examination
    2016-11-16
Other Names
  • Ken Pham

View on SEC IAPD

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