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James Curtis Locke

U.s. Bancorp Investments, Inc.

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About James Curtis Locke

James Curtis Locke is a registered representative with U.S. Bancorp Investments, Inc., and has been working in the financial industry since 2015. James holds Series 7, 9, 10, 24, 63, and 66 licenses, and has earned the Securities Industry Essentials Examination (SIE) designation. James has experience working with individuals, high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.

Firm Information

James Locke is currently registered with U.s. Bancorp Investments, Inc.. U.S. Bancorp Investments, Inc. is a corporation that provides financial planning, portfolio management, and other investment advisory services. Formed in 1974, the firm has approximately $1 billion - $10 billion in assets under management and is registered with the SEC and in all 50 states. The firm's main office is located in Saint Paul, Minnesota.
U.s. Bancorp Investments, Inc.

60 LIVINGSTON AVENUE

SAINT PAUL, MN 55107

$15.87B

Assets Under Management

3,360

Total Clients

1,960

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

12b-1,networking&shareholder serv,product partner arrangements

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James Locke’s Registration & Firm History

OH

09/03/2020 - Present

U.s. Bancorp Investments, Inc. (Cincinnati OH)

KY

07/20/2015 - 02/20/2020

FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)

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Licenses & Designations

BOTH

Issued 09/02/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/27/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/30/2020

Series 24 - General Securities Principal Examination

BC

Issued 11/20/2017

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/13/2017

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/20/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Curtis Locke.
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