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James Whang

U.s. Bancorp Investments, Inc.

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About James Whang

James Whang is a financial advisor with over 20 years of experience in the industry. James is currently registered with U.s. Bancorp Investments, Inc. James has previously worked with Wachovia Capital Markets, LLC, Wachovia Securities, LLC and Prudential Securities Incorporated. James holds Series 7, 24, 52TO, 53, 63, 79TO and SIE licenses and is registered in North Carolina.

Firm Information

James Whang 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 Whang’s Registration & Firm History

NC

08/19/2009 - Present

U.s. Bancorp Investments, Inc. (Charlotte NC)

NC

02/04/2004 - 05/04/2009

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

07/01/2003 - 02/26/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

05/31/2001 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

07/25/1996 - 03/10/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/09/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/15/2016

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/06/2006

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/24/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Whang.
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