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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
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
  • NV RA
    APPROVED
    Since 2026-06-04
  • HI RA
    APPROVED
    Since 2024-02-28
  • TX RA
    APPROVED_RES
    Since 2009-06-18
  • WA RA
    APPROVED
    Since 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

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
OrganizationCityStateFromTo
Ubs Financial Services Inc Tacoma WA 04/2009 Present
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-14
S63 Uniform Securities Agent State Law Examination 1992-12-03
  • S65 Uniform Investment Adviser Law Examination
    1992-12-14
  • S63 Uniform Securities Agent State Law Examination
    1992-12-03

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