Empirical Financial Services LLC
Legal Name: EMPIRICAL FINANCIAL SERVICES, LLC
Full Contact Details
Empirical Financial Services LLC
1420 5TH AVE, SUITE 3150, SEATTLE, WA
206-923-3474
206-923-3484
Other Info
Empirical Financial Services LLC is legally known as EMPIRICAL FINANCIAL SERVICES, LLC. It is a WA Limited Liability Company. This firm has 34 employees, of which 25 are employees in advisory roles. It serves 288 clients. The firm's last reported SEC (U.S. Securities and Exchange Commission) status is listed as “Approved”, with a registration date of Feb 23, 2011.
Direct Owners
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ETHAN ANDREW BROGA
DIRECTOR OF FINANCIAL PLANNING & MEMBER owns more than 10% but less than 25%
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JAIME CHELAN CHRISTINA WHITE
CHIEF OPERATING OFFICER owns less than 5%
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JAMES ALLEN JONES
DIRECTOR OF TAX AND WEALTH TRANSFER & MEMBER owns less than 5%
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KENNETH ROBERT SMITH
CHIEF EXECUTIVE OFFICER & MEMBER owns more than 50% but less than 75%
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LINDSAY MARIE FARNSWORTH
CHIEF COMPLIANCE OFFICER owns less than 5%
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LORNE DAVID ENQUIST
CHIEF FINANCIAL OFFICER & MEMBER owns more than 10% but less than 25%
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MICHAEL PATRICK KELLY
CHIEF INVESTMENT OFFICER & MEMBER owns more than 5% but less than 10%
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SHAN ZUBAIR
FINANCIAL ADVISOR & MEMBER owns less than 5%
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SIMON JOSHUA LIU
CHIEF MARKETING TECHNOLOGY OFFICER & MEMBER owns less than 5%
Custodians
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TD BANK
United States