AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
JU

Joseph Samuel Ushio

CRD# 4132504·Registered 2000 - 2026
Previously Registered: Being a previously registered professional could mean that Joseph is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Joseph Samuel Ushio, who also goes by Sam Ushio, was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 2000 - 2026. Joseph had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Sam Ushio

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

26 years in the financial services industry

Current & Past Employments

IKIGAI WEALTH·CRD# 304959
RIA
Seattle, WA
October 1, 2019 - August 31, 2026
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC·CRD# 21771
BD
Seattle, WA
July 27, 2009 - July 20, 2017
RUSSELL INVESTMENTS·CRD# 105734
RIA
Tacoma, WA
June 29, 2007 - May 6, 2008
RUSSELL INVESTMENTS·CRD# 105734
RIA
Tacoma, WA
January 11, 2005 - June 29, 2007
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC·CRD# 21771
BD
Tacoma, WA
October 28, 2004 - May 6, 2008
STRONG CAPITAL MANAGEMENT INC·CRD# 106638
RIA
Menomonee Falls, WI
January 15, 2003 - October 4, 2004
STRONG INVESTMENTS, INC.·CRD# 15658
BD
Menomonee Falls, WI
September 8, 2000 - October 4, 2004

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

IW
IKIGAI WEALTH

IKIGAI WEALTH | IKIGAI WEALTH LLC

CRD#: 304959

Contact Information

Main Address

1201 3rd Avenue #2200, Seattle, WA 98101

Phone Number

(206) 771-9258

# of Employees

1

Documents

Latest Form ADV

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1. the name of the other business: GvG17 LLC DBA Ikigai Lab 2. whether the business is investment-related: No 3. the address of the other business: 500 Yale N., Seattle, WA 98109 4. the nature of the other business: Coaching, Consulting, and Retreats 5. your position, title, or relationship with the other business: Principal 6. the start date of your relationship: July 14, 2017 7. the approximate number of hours/month you devote to the other business: 12 hours/month 8. the number of hours you devote to the other business during securities trading hours: 2 hours/month 9. and briefly describe your duties relating to the other business: Deliver coaching, consulting, and experiential retreats with an emphasis on the Japanese concept of ikigai. 1. the name of the other business: Connect3x, Public Benefit Corporation 2. whether the business is investment-related: No 3. the address of the other business: 500 Yale N., Seattle, WA 98109 4. the nature of the other business: Organizational Design 5. your position, title, or relationship with the other business: President and Chief Ikigai Officer 6. the start date of your relationship: April 28, 2021 7. the approximate number of hours/month you devote to the other business: 120 hours/month 8. the number of hours you devote to the other business during securities trading hours: 60 hours/month 9. and briefly describe your duties relating to the other business: Lead Connect3x's strategy to deliver well-being solutions to support organizations focused on a culture of engaged, thriving employees.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2000About the Series 7 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
JU
Follow Joseph
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required