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1420 5Th Ave Suite 3150, Seattle, WA 98101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-01-26 |
Branch Locations
2020 Main Street Suite 340, Irvine, CA 92614 • United States
1420 5Th Ave Suite 3150, Seattle, WA 98101 • United States
11150 West Olympic Blvd Suite 1180, Los Angeles, CA 90064 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Natixis Global Asset Management | San Francisco | CA | 02/2015 | 03/2017 |
| Fidelity Brokerage Services Llc | Los Angeles | CA | 03/2017 | 05/2020 |
| Fidelity Personal And Workplace Advisors | Boston | MA | 07/2018 | 05/2020 |
| Lpl Financial Llc | Irvine | CA | 06/2020 | 01/2021 |
| Stratos Wealth Partners, Ltd | Irvine | CA | 06/2020 | 01/2021 |
| Empirical Wealth Management | Irvine | CA | 01/2021 | Present |
Name of other business: Empirical Insurance, LLC. Is business investment-related: Yes. Address of other business: 1420 Fifth Ave., Suite 3150, Seattle, WA 98101. Nature of other business: Insurance planning services. Position/title/relationship: Affiliated Insurance Producer. Start date of relationship: 03/2021. Approximate number of hours/month devoted to other business: 1 hour. Number of hours devoted to the other business during securities trading hours: 1 hour. Duties related to other business: Recommend insurance products designed to address the life, disability, and long-term care insurance needs of clients.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-08-17 |
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