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1420 5Th Ave Suite 3150, Seattle, WA 98101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-10-06 |
| WA | RA | APPROVED | 2020-02-12 |
Branch Locations
11100 Ne 8Th Street Suite 820, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc. | Seattle | WA | 12/2014 | 07/2018 |
| 5 Point Financial Group, Inc. | Bothell | WA | 12/2014 | 12/2019 |
| Tunyo Inc | Snohomish | WA | 01/2021 | Present |
| Kms Financial Services, Inc. | Seattle | WA | 12/2014 | 07/2018 |
| Empirical Wealth Management | Seattle | WA | 02/2020 | Present |
| United Planners Financial Services | Seattle | WA | 07/2018 | 12/2019 |
| United Planners Financial Services | Seattle | WA | 07/2018 | 12/2019 |
| Tunyo Inc | Snohomish | WA | 01/2015 | 01/2021 |
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: 02/2020. Approximate number of hours/month devoted to other business: 2 hour. Number of hours devoted to the other business during securities trading hours: 2 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 |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-12-11 |
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