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Ethan Andrew Broga

Empirical Wealth Management

Seattle, WA

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Current Employers
Empirical Wealth Management

1420 5Th Ave Suite 3150, Seattle, WA 98101 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-22
AK RA APPROVED 2011-06-01
WA RA APPROVED 2010-07-27
  • CA RA
    APPROVED
    Since 2025-01-22
  • AK RA
    APPROVED
    Since 2011-06-01
  • WA RA
    APPROVED
    Since 2010-07-27

Branch Locations

1420 5Th Ave Suite 3150, Seattle, WA 98101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Empirical Financial Services Seattle WA 07/2010 Present
  • 07/2010 → Present
    Empirical Financial Services
    Seattle, WA
Previous Registrations
  • 2015-10-03 → 2017-12-15
    Directional Financial Services
    Seattle, WA
  • 2006-11-07 → 2010-11-19
    Empirical Wealth Management, Llc
    Portland, OR
  • 2007-04-13 → 2009-04-22
    Directional Financial Services
    Seattle, WA
  • 2003-11-07 → 2006-07-07
    Chinook Capital Management Llc
    Seattle, WA
  • 2001-03-16 → 2003-10-22
    Charles Schwab & Co., Inc.
    Lynnwood, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-08
  • S66 Uniform Combined State Law Examination
    2001-01-08
Designations

View on SEC IAPD

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Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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