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Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2019-06-21 |
Branch Locations
225 S Lake Ave Penthouse, Pasadena, CA 91101 • United States
Two Union Square Ste 5050 601 Union Street, Seattle, WA 98101 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Seattle | WA | 05/2014 | 06/2019 |
| Wedbush Securities Inc. | Seattle | WA | 06/2019 | Present |
(1) HDK INVESTMENTS LLC / INVESTMENT-RELATED / SEATTLE, WA / REAL ESTATE LLC / PARTNER / START 06/2014 / APPROX: 4 HOURS MONTHLY / 1 HOUR PER MONTH DURING BUSINESS HOURS / DUTIES: COMMERCIAL REAL ESTATE OWNER (2) JDW PARTNERS / SEATTLE, WA / PARTNERSHIP/ REAL ESTATE / INVESTMENT RELATED/ PARKING LOT / MANAGING PARTNER / START DATE 12/2007 / APPROX: 4 HOURS MONTHLY / 1 HOUR PER MONTH DURING BUSINESS HOURS / DUTIES: OWN A SMALL PARKING LOT (15 SPACES) (3) JDW NORTH PROPERTIES LTD / SEATTLE, WA / INVESTMENT REALATED / CORPORATION / REAL ESTATE / PARTNER / START DATE 01/2008 / APPROX: 4 HOURS MONTHLY / 1 HOUR PER MONTH DURING BUSINESS HOURS / DUTIES: OWN REAL ESTATE (4) HELEN VIRGINA / INVESTMENT-RELATED / SEATTLE, WA / REAL ESTATE LLC / PARTNER / START 05/2007 / APPROX: 4 HOURS MONTHLY / 1 HOUR PER MONTH DURING BUSINESS HOURS / DUTIES: OWNER FAMILY RELATED HOMES The University Club / 1004 Boren Ave Seattle,WA 98104 / Other/ Other College Graduates in any field / Social events / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / member of Finance Committee - 4 meetings per year / Start Date 3/31/2017/Social Club / sigma alpha episilon / 1500 N Warner Tacoma,WA 98416 / Other/ Education / none / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / go to Chapter meetings / Start Date 1/1/2017/Fraternity House (6) PACIFIC TRUST COMPANY-REAL ESTATE INVESMENT COMPANY-INVESTMENT ADVISORY BOARD MEMBER;;QUARTERLY MEETING;;12 HOURS PER YEAR;; (7) NAME OF BUSINESS-CLEARSET;NATURE OF BUSINESS-INTERNET START UP;;WASHINGTON;POSITION-INVESTOR;;0 HOUR SPENT DURING TRADNG HOURS. (8) BAMM, LLC; Investment related; Seattle, WA; Holding LLC; Managing Member; Start: 06/2025; Approx: 1 hour monthly, none during business hours; Holding LLC for assets. (9) KSP LLC; Investment Related; Seattle, WA; LLC for Real Estate; Owner / Operator; Start: 11/2025; Approx: 3 hours monthly, none during business hours; Duties: Lessor of Residential Building.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 1983-08-19 |
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