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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 2026-06-23
  • CA RA
    APPROVED
    Since 2026-06-23

Branch Locations

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

333 Bush Street, Suite 2020, San Francisco, CA 94104 • 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
Ameriprise Financial Services, Inc. Cincinnati OH 07/2013 10/2023
Northrock Partners San Francisco CA 10/2023 05/2026
Empirical Wealth Managemet Seattle WA 05/2026 Present
  • 07/2013 → 10/2023
    Ameriprise Financial Services, Inc.
    Cincinnati, OH
  • 10/2023 → 05/2026
    Northrock Partners
    San Francisco, CA
  • 05/2026 → Present
    Empirical Wealth Managemet
    Seattle , WA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-10
  • S66 Uniform Combined State Law Examination
    2009-07-10
Designations

View on SEC IAPD

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