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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

James Howard Dockens

Advisor at U.S. BANCORP ADVISORS, LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:18a1edd7-3a72-ae3f-0615-a6b5de3fdc04

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jun 3, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: U.S. BANCORP ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 12, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 12, 1997
First registration: Jun 3, 2002
Dual registered: yes, broker-dealer
Other names: Jamie Howard Dockens
IAPD individual key: 2947707

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Everett, WA\|Lake Stevens, WA\|Auburn, WA\|Bonney Lake, WA\|Puyallup, WA\|Sumner, WA	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Sep 18, 2017	Feb 13, 2026	no	Edmonds, WA\|Kenmore, WA\|Mukilteo, WA\|PUYALLUP, WA\|PUYALLUP, WA\|Spanway, WA\|Bonney Lake, WA\|Puyallup, WA\|Puyallup, WA\|Puyallup, WA\|Sumner, WA\|Auburn, WA\|Tacoma, WA\|Puyallup, WA	Previous registration
FULCRUM CAPITAL, LLC	Independent wealth	Nov 3, 2015	Jun 12, 2017	no	SEATTLE, WA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Oct 27, 2011	Nov 30, 2015	no	SEATTLE, WA\|ARLINGTON, VA	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Jan 7, 2010	Oct 21, 2011	no	MUKILTEO, WA\|SEATTLE, WA\|Cedar Rapids, IA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Aug 5, 2008	Jan 8, 2010	no	ARLINGTON, VA	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2005	Mar 21, 2007	no	EVERETT, WA\|PHOENIX, AZ	Previous registration
SENTRA SECURITIES CORPORATION	n/a	Jun 3, 2002	Oct 31, 2005	no	EVERETT, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U.S. BANCORP INVESTMENTS, INC.	U.S. BANCORP ADVISORS, LLC	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
FULCRUM CAPITAL, LLC	U.S. BANCORP INVESTMENTS, INC.	Jun 12, 2017	Sep 18, 2017	98	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	FULCRUM CAPITAL, LLC	Nov 30, 2015	Nov 3, 2015	-27	Firm change	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	E*TRADE CAPITAL MANAGEMENT, LLC	Oct 21, 2011	Oct 27, 2011	6	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Jan 8, 2010	Jan 7, 2010	-1	Firm change	Other
SAGEPOINT FINANCIAL, INC.	E*TRADE CAPITAL MANAGEMENT, LLC	Mar 21, 2007	Aug 5, 2008	503	Firm change after gap	Other
SENTRA SECURITIES CORPORATION	SAGEPOINT FINANCIAL, INC.	Oct 31, 2005	Oct 31, 2005	0	Bulk transfer	Other

Relationships

Registered with (7)

→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 18, 2017 to Feb 13, 2026factForm ADV
→ FULCRUM CAPITAL, LLCRegistered adviserregistration: previous registration
Nov 3, 2015 to Jun 12, 2017factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 27, 2011 to Nov 30, 2015factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 7, 2010 to Oct 21, 2011factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 31, 2005 to Mar 21, 2007factForm ADV
→ SENTRA SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jun 3, 2002 to Oct 31, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18a1edd7-3a72-ae3f-0615-a6b5de3fdc04
First observed: Jun 3, 2002
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

James Howard Dockens

Advisor at U.S. BANCORP ADVISORS, LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:18a1edd7-3a72-ae3f-0615-a6b5de3fdc04

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.