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Current Employers
Empirical Wealth Management

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2021-01-20
  • WA RA
    APPROVED
    Since 2021-01-20

Branch Locations

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

11100 Ne 8Th Street Suite 820, Bellevue, WA 98004 • United States

Directional Financial Services

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2021-01-20
  • WA RA
    APPROVED
    Since 2021-01-20

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
Zevenbergen Capital Investments Llc Seattle WA 01/1997 10/2019
Empirical Wealth Management Seattle WA 01/2021 Present
Puetz Golf Superstore Tukwila WA 10/2019 01/2021
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-03-15
  • S65 Uniform Investment Adviser Law Examination
    2005-03-15

View on SEC IAPD

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