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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Richard James Harkless

Advisor at U.S. BANCORP ADVISORS, LLC

Davis, CA

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Search this name across graphsid dfx:ria:ae1faf01-97e6-87c5-fb73-89c49b38939c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 21, 2015 to Sep 14, 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: Mar 15, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Mar 15, 1997
First registration: Aug 21, 2015
Dual registered: yes, broker-dealer
Other names: Richard James Harkless|Richard James Harkless
IAPD individual key: 2858936

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	Davis, CA	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jan 28, 2025	Feb 13, 2026	no	Santa Barbara, CA\|Davis, CA\|Davis, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 19, 2023	Feb 7, 2025	no	SACRAMENTO, CA\|SACRAMENTO, CA\|FOLSOM, CA\|SACRAMENTO, CA\|WOODLAND, CA\|SACRAMENTO, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Aug 21, 2015	Jul 19, 2023	no	SACRAMENTO, CA\|SACRAMENTO, CA\|FOLSOM, CA\|SACRAMENTO, CA\|WOODLAND, CA\|SACRAMENTO, CA	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
LPL FINANCIAL LLC	U.S. BANCORP INVESTMENTS, INC.	Feb 7, 2025	Jan 28, 2025	-10	Firm change	Ibd to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd

Relationships

Registered with (4)

→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 28, 2025 to Feb 13, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 19, 2023 to Feb 7, 2025factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Aug 21, 2015 to Jul 19, 2023factForm ADV

Dated events

Occurred
Feb 7, 2025
Advisor changed firm
Richard James Harkless left Lpl Financial Llc for U.S. Bancorp Investments, Inc. (registered 2025-01-28)
Form ADVobserved 6 days ago