Joseph S. Ushio

IKIGAI WEALTH

Seattle, WA 98101

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CRD#: 4132504

Professional summary

Joseph Samuel Ushio, who also goes by Sam Ushio, is a registered financial advisor currently at IKIGAI WEALTH located in Seattle, Washington.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Ushio

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.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Samuel Ushio'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

October 1, 2019 - Present

IKIGAI WEALTH

Office #1: 1201 3rd Avenue #2200, Seattle, WA 98101

RIA

CRD#: 304959

Seattle, WA

Past

July 27, 2009 - July 20, 2017

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

SEATTLE, WA

Past

June 29, 2007 - May 6, 2008

RUSSELL INVESTMENTS

RIA

CRD#: 105734

TACOMA, WA

Past

January 11, 2005 - June 29, 2007

RUSSELL INVESTMENTS

RIA

CRD#: 105734

TACOMA, WA

Past

October 28, 2004 - May 6, 2008

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

TACOMA, WA

Past

January 15, 2003 - October 4, 2004

STRONG CAPITAL MANAGEMENT INC

RIA

CRD#: 106638

MENOMONEE FALLS, WI

Past

September 8, 2000 - October 4, 2004

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

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

Washington
(10/1/2019)

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 65

Date: 1/14/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2000

General Securities Representative Examination

Current Firm

IKIGAI WEALTH

IKIGAI WEALTH | IKIGAI WEALTH LLC

CRD#: 304959 / SEC#:

Washington

Registered Investment Advisory firm - (10/1/2019 Approved)

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Contact information

Main Address

1201 3rd Avenue #2200, Seattle, WA 98101

Mailing Address

Phone number

(206) 771-9258

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Joseph S. Ushio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Samuel Ushio's CRS (Customer Relationship Summary).

Certified licenses

Experience

IKIGAI WEALTH

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

STRONG CAPITAL MANAGEMENT INC

STRONG INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2003

Series 63

Date: 9/14/2000

SIE

Date: 7/20/2017

Series 7

Date: 9/7/2000

Current Firm

IKIGAI WEALTH

Contact information

Documents

Red Flags

Company Information

IKIGAI WEALTH

TRUST BUT VERIFY

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