Barry Brian Waits

Employer firm

Waits Investments, LLC CRD 165785

$78.0M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Waits Investments, Llc

Carlsbad, CA • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-03-17
CA	RA	APPROVED	2024-10-28
OR	RA	APPROVED	2024-10-28
WA	RA	APPROVED	2016-06-27

TX RA
APPROVED

Since 2025-03-17
CA RA
APPROVED

Since 2024-10-28
OR RA
APPROVED

Since 2024-10-28
WA RA
APPROVED

Since 2016-06-27

Branch Locations

Carlsbad, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Waits Investments, Llc	Portland	OR	10/2012	Present

10/2012 → Present

Waits Investments, Llc

Portland, OR

Previous Registrations

2010-10-14 → 2012-03-07

Fisher Investments

Camas, WA

Plano, TX
2010-07-06 → 2010-09-30

Northwestern Mutual Investment Services, Llc

Portland, OR

Other Businesses

I have a rental property in Maui that I have a property manager run. This started in September of 2018 and I defer the duties to the property manager and pay them for those duties.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-06-13
S63	Uniform Securities Agent State Law Examination	1998-12-02

S66 Uniform Combined State Law Examination

2010-06-13
S63 Uniform Securities Agent State Law Examination

1998-12-02

View on SEC IAPD