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1420 5Th Ave Suite 3150, Seattle, WA 98101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-10-30 |
| TX | RA | APPROVED | 2022-08-30 |
| WA | RA | APPROVED | 2021-10-06 |
Branch Locations
333 Bush Street Suite 1410, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Flower Mound | TX | 11/2011 | 09/2021 |
| Fidelity Personal And Workplace Advisors | Boston | MA | 07/2018 | 09/2021 |
| Empirical Wealth Management | San Francisco | CA | 10/2021 | 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: 02/2022. 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 |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-20 |
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