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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2026-06-04 |
| HI | RA | APPROVED | 2024-02-28 |
| TX | RA | APPROVED_RES | 2009-06-18 |
| WA | RA | APPROVED | 2009-04-09 |
Branch Locations
1145 Broadway Suite 1400, Tacoma, WA 98402-3503 • United States
Seattle, WA • United States
Las Vegas, NV • United States
Lahaina, HI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Tacoma | WA | 04/2009 | Present |
1) Barss Ohana LLC/Investment related?:yes/4303 55th Ave NE,Seattle,WA,98105/Real Estate/My wife and I are listed as the Managers of the LLC/We are just operating the LLC for our second home to limit liability and if we ever rent it in the future we would just need to operate the expenses and income related to the property within the LLC. The plan is to begin renting the property on July 1st 2021../start date:7/1/2021/Time reqd during working hours?: no 2)Authoring a book,WAUnited States,This is for the approval of an authoring a book which I was told needed to be a separate EIA from the LLC.OtherWriting a bookThis is for authoring a book on goal setting, nothing financial based or anything to do with UBS.,Proprietor / owner,I am the author of the book Start date -o2/2/2026 3)Outer Rim Creative LLC,NESeattle,WAUnited States,Company,Authoring books, podcastingThis serves as an LLC for the plan to author a book and potential other books down the road.,Proprietor / ownerI am planning authorizing books under the LLC, Start date -2/2/2026 4)Reverb Podcast,WashingtonUnited States,This is for a podcast with a friend that focuses on interviews with various people in the community for teaching young people about different fields. There will be NO discussion of my role as a Financial Advisor at UBS NOR any mention of my employment at UBS NOR the company name.Its a podcast so just for general audiences but mostly young people trying to learn about careersThis is a podcast to interview successful people in various fields so young people can learn from their wisdom and their path in their career. There is NO financial discussions on this Podcast and nothing to do with my role at UBS nor the company.,Podcast host with a friend as co-host, Start date 2/2/2026 5)Podcast - Humor Focused , Seattle WA United States , This is an approval request for a podcast that is purely a hobby and non-financial, it has nothing to do with UBS and no compensation Other Entertainment This is purely a hobby podcast where we interview stand up comedians about their journey as a comedian, Proprietor / owner , I will be the host of the podcast an interview guests , Start date 9/1/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-03 |
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