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Saksoknik Sopheak
Sak Sopheak
CRD#: 5294029
IA
Investment Adviser
B
Broker
U.S. BANCORP INVESTMENTS, INC.CRD#: 17868 530 B St
San Diego, CA 92101
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - 2018 (1 year)2 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - 2022 (3 years)2 FIRMS2023 - Present (2 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2010 - 2015 (4 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2015 (3 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2010 - 2011 (1 year)
License(s)

State Registrations

B
California 1/6/2023

IA
California 1/6/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
530 B St, San Diego, CA 92101
Registered with this firm since 1/6/2023

B
U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
530 B St, San Diego, CA 92101
Registered with this firm since 1/6/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/28/2019 - 08/17/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) LAKESIDE, CA
B
08/27/2019 - 08/17/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) LAKESIDE, CA
IA
07/25/2018 - 04/11/2019 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) SOLANA BEACH, CA
B
07/25/2018 - 04/11/2019 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) SOLANA BEACH, CA
IA
12/15/2016 - 07/12/2018 AXA ADVISORS, LLC (CRD#:6627) SAN DIEGO, CA
B
12/15/2016 - 07/12/2018 AXA ADVISORS, LLC (CRD#:6627) SAN DIEGO, CA
IA
09/23/2015 - 11/22/2016 MSI FINANCIAL SERVICES, INC. (CRD#:14251) SAN DIEGO, CA
B
09/21/2015 - 11/22/2016 MSI FINANCIAL SERVICES, INC. (CRD#:14251) SAN DIEGO, CA
IA
08/08/2011 - 03/11/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) WEST CHESTER, PA
B
08/30/2010 - 03/11/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) WEST CHESTER, PA
IA
08/30/2010 - 08/05/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) WEST CHESTER, PA
IA
05/08/2007 - 09/01/2009 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MONTECITO, CA
B
03/30/2007 - 09/01/2009 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MONTECITO, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.