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James Allen Jones

EMPIRICAL FINANCIAL SERVICES, LLC·SEATTLE, Washington
Series 65Clean record9 years registeredEMPIRICAL FINANCIAL SERVICES, LLC
1420 5TH AVE, SEATTLE, WA 98101CRD# 6699732Firm CRD# 152622

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James Allen Jones · SEATTLE, WA
Registration
CRD #6699732 · EMPIRICAL FINANCIAL SERVICES, LLC · 9 years registered
Brand Profile
Not yet started
01

Career History

EMPIRICAL WEALTH MANAGEMENT
Dec 2016 – present
DIRECTIONAL FINANCIAL SERVICES
Dec 2016 – Jan 2018
SEATTLE, WA
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · December 21, 2016
Years registered · 9
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
EMPIRICAL FINANCIAL SERVICES, LLC
CRD 152622 · SEC 801-72168
AUM
$5.5B
Regulatory assets under management
Employees
78
7,267 client accounts
Services offered by EMPIRICAL FINANCIAL SERVICES, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
Pension & Retirement Plans
High Net Worth Individuals
View all advisors at EMPIRICAL FINANCIAL SERVICES, LLC →
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05

Frequently Asked Questions

What services does James Allen Jones offer?
James Allen Jones specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in SEATTLE, Washington for a consultation.
What are James Allen Jones's credentials?
James Allen Jones is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Allen Jones located?
James Allen Jones is based in SEATTLE, Washington, working with EMPIRICAL FINANCIAL SERVICES, LLC. Their office serves clients in the SEATTLE metropolitan area and surrounding communities.
How does James Allen Jones charge for services?
James Allen Jones's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is EMPIRICAL FINANCIAL SERVICES, LLC?
EMPIRICAL FINANCIAL SERVICES, LLC has approximately 78 employees and manages $5.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Michael Scott Van Sant
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Research
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