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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 2022-04-18
OR RA APPROVED 2022-04-18
WA RA APPROVED 2022-04-18
  • CA RA
    APPROVED
    Since 2022-04-18
  • OR RA
    APPROVED
    Since 2022-04-18
  • WA RA
    APPROVED
    Since 2022-04-18

Branch Locations

805 Sw Broadway Suite 2400, Portland, OR 97205 • United States

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
E*Trade Securities Llc Portland OR 01/2016 04/2022
E*Trade Capital Management Llc Portland OR 01/2016 04/2022
Empirical Wealth Management Portland OR 04/2022 Present
  • 01/2016 → 04/2022
    E*Trade Securities Llc
    Portland, OR
  • 01/2016 → 04/2022
    E*Trade Capital Management Llc
    Portland, OR
  • 04/2022 → Present
    Portland, OR
Previous Registrations
  • 2016-02-05 → 2022-04-22
    Harrisdirect Llc
    Portland, OR
    Arlington, VA
    Portland, OR
    Portland, OR
  • 2013-05-10 → 2016-01-25
    Td Ameritrade, Inc.
    Portland, OR
  • 2013-05-15 → 2016-01-25
    Td Ameritrade Investment Management, Llc
    Portland, OR
  • 2012-10-01 → 2013-04-29
    Portland, OR
  • 2012-01-30 → 2012-10-01
    Chase Investment Services Corp.
    Lake Oswego, OR
    Portland, OR
  • 2011-03-10 → 2012-01-09
    Portland, OR
  • 2009-09-18 → 2011-02-02
    Portland, OR
  • 2009-06-01 → 2009-09-22
    Portland, OR
  • 2008-10-15 → 2009-06-01
    Morgan Stanley & Co. Llc
    Portland, OR
Other Businesses

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: 04/21022. 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-14
  • S66 Uniform Combined State Law Examination
    2008-10-14
Designations

View on SEC IAPD

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