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Ngoc Phung Pauline Le

Empirical Wealth Management

Seattle, WA

Irvine, CA

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Current Employers
Empirical Wealth Management

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

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

2955 Main Street Suite 208, Irvine, CA 92614 • 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
Chapman University Orange CA 08/2019 05/2023
Empirical Wealth Management Irvine CA 07/2023 Present
Not Employed Westminster CA 08/2013 07/2019
  • 08/2019 → 05/2023
    Chapman University
    Orange, CA
  • 07/2023 → Present
    Empirical Wealth Management
    Irvine, CA
  • 08/2013 → 07/2019
    Not Employed
    Westminster, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-12-04
  • S65 Uniform Investment Adviser Law Examination
    2023-12-04
Other Names
  • Ngoc-Phung Pauline Thi Le
  • Pauline Le

View on SEC IAPD

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Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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