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Simon Joshua Liu

Empirical Wealth Management

Seattle, WA

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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 2010-07-27
  • WA RA
    APPROVED
    Since 2010-07-27

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
Empirical Financial Services, Llc D/B/A Empirical Wealth Mgmt Seattle WA 10/2013 Present
  • 10/2013 → Present
    Empirical Financial Services, Llc D/B/A Empirical Wealth Mgmt
    Seattle, WA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-02-27
  • S65 Uniform Investment Adviser Law Examination
    2009-02-27

View on SEC IAPD

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