Unclaimed Profile

Kenneth Robert Smith

DIRECTIONAL FINANCIAL SERVICES, LLC·SEATTLE, Washington

Series 7, Series 9, Series 10, Series 63, Series 66Clean record24 years registeredDIRECTIONAL FINANCIAL SERVICES, LLC

1420 5TH AVE, SEATTLE, WA 98101CRD# 2598986Firm CRD# 171903

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kenneth Robert Smith · SEATTLE, WA

Registration

CRD #2598986 · DIRECTIONAL FINANCIAL SERVICES, LLC · 24 years registered

Brand Profile

Not yet started

Career History

EMPIRICAL WEALTH MANAGEMENT

Jun 2010 – present

DIRECTIONAL FINANCIAL SERVICES

Oct 2015 – Dec 2017

SEATTLE, WA

DIRECTIONAL FINANCIAL SERVICES

Apr 2007 – Apr 2009

SEATTLE, WA

EMPIRICAL WEALTH MANAGEMENT, LLC

Jul 2006 – Dec 2010

PORTLAND, OR

CHINOOK CAPITAL MANAGEMENT LLC

Dec 2001 – Jul 2006

PORTLAND, OR

Registrations & Exams

FINRA examinations passed

Series 7

Series 9

Series 10

Series 63

Series 66

Registration record

First registered · December 18, 2001

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DIRECTIONAL FINANCIAL SERVICES, LLC

CRD 171903 · SEC 801-79954

AUM

$9M

Regulatory assets under management

Employees

80 client accounts

Services offered by DIRECTIONAL FINANCIAL SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at DIRECTIONAL FINANCIAL SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does Kenneth Robert Smith offer?

Kenneth Robert Smith specializes in Financial Planning, Investment Management. Contact their office in SEATTLE, Washington for a consultation.

What are Kenneth Robert Smith's credentials?

Kenneth Robert Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kenneth Robert Smith located?

Kenneth Robert Smith is based in SEATTLE, Washington, working with DIRECTIONAL FINANCIAL SERVICES, LLC. Their office serves clients in the SEATTLE metropolitan area and surrounding communities.

How does Kenneth Robert Smith charge for services?

Kenneth Robert Smith's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DIRECTIONAL FINANCIAL SERVICES, LLC?

DIRECTIONAL FINANCIAL SERVICES, LLC has approximately 6 employees and manages $9M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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