Barry B. Waits

WAITS INVESTMENTS

SPOKANE, WA

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CRD#: 3075688

Professional summary

Barry Brian Waits is a registered financial advisor currently at WAITS INVESTMENTS, LLC located in Spokane, Washington.

Barry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Barry has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Brian Waits's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2013 - Present

WAITS INVESTMENTS, LLC

RIA

CRD#: 165785

SPOKANE, WA

Past

October 14, 2010 - March 7, 2012

FISHER INVESTMENTS

RIA

CRD#: 107342

CAMAS, WA

Past

July 6, 2010 - September 30, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

PORTLAND, OR

Past

April 20, 2010 - September 30, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PORTLAND, OR

Past

September 25, 1998 - April 28, 2005

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/6/2014)

IAR

Oregon
(1/2/2013)

IAR

Texas
(2/28/2013)

IAR

Washington
(6/27/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/13/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/2010

General Securities Representative Examination

Current Firm

WAITS INVESTMENTS, LLC

WAITS INVESTMENTS, LLC | WAITS, BARRY BRIAN

CRD#: 165785 / SEC#:

California

Registered Investment Advisory firm - (8/5/2014 Approved)

Oregon

Registered Investment Advisory firm - (1/2/2013 Approved)

Texas

Registered Investment Advisory firm - (3/17/2025 Approved)

Washington

Registered Investment Advisory firm - (6/24/2016 Approved)

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Contact information

Main Address

Spokane, WA

Mailing Address

Phone number

(503) 756-3483

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 62,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Barry B. Waits

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Brian Waits's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAITS INVESTMENTS, LLC

FISHER INVESTMENTS

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/13/2010

Series 63

Date: 12/2/1998

Series 7

Date: 4/19/2010

Current Firm

WAITS INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WAITS INVESTMENTS, LLC

TRUST BUT VERIFY

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