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5700 West 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2022-04-22 |
Branch Locations
1108 11Th Street Suite 305, Bellingham, WA 98225 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Bellingham | WA | 10/2008 | 04/2022 |
| Mariner Platform Solutions | Bellingham | WA | 04/2022 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 04/2022 | 10/2023 |
| Mauro Capital Management | Bellingham | WA | 04/2022 | Present |
1) MARINER PLATFORM SOLUTIONS DBA MAURO CAPITAL MANAGEMENT. Investment Related. Located at 1215 12th Street, Suite 101, Bellingham WA 98225. Nature - RIA. Position - Financial Advisor. Start - 04/2022. 160 hours per month, all during trading hours. Duties - Advising clients on the fee-based side. 2) FIXED INSURANCE. Investment Related. Located at 1215 12th Street, Suite 101, Bellingham WA 98225. Nature - Fixed/ Traditional Insurance. Position - Agent. Start - 04/2022. 4 hours per month during trading hours. Duties - Sales of Fixed/Traditional Insurance products. 4) AUTHOR. Not Investment Related. Located at 16 Greene Point Road, Bellingham, WA 98229. Nature - I have authored one book, The Altitude Journals, about mountain climbing. The book is sold on Amazon and other retailers. I occasionally speak about the book and sell copies at those events. I am working on a second book about the logging industry. Position - Author. Start - 05/2018. 8 hours per month, not during trading hours. Duties - I write, promote, speak about and conduct interviews on behalf of my published works. 5) DUPLEX RENTAL. Not Investment Related. Located at 1113 21st Street, Bellingham, WA 98225. Nature - Renting out two adjoined homes. Start - 2013. 5 hours per month not during trading hours. Duties - Collecting rents, repair and maintenance of homes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1987-08-03 |
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