Unclaimed Profile

Lorne David Enquist

EMPIRICAL FINANCIAL SERVICES, LLC·SEATTLE, Washington

Series 7, Series 65, Series 66Clean record19 years registeredEMPIRICAL FINANCIAL SERVICES, LLC

1420 5TH AVE, SEATTLE, WA 98101CRD# 5270619Firm CRD# 152622

Profile Verification

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

Identity

Lorne David Enquist · SEATTLE, WA

Registration

CRD #5270619 · EMPIRICAL FINANCIAL SERVICES, LLC · 19 years registered

Brand Profile

Not yet started

Career History

EMPIRICAL WEALTH MANAGEMENT

Jun 2011 – present

DIRECTIONAL FINANCIAL SERVICES

Oct 2015 – Dec 2017

SEATTLE, WA

BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.

Oct 2009 – May 2011

SEATTLE, WA

WELLS FARGO ADVISORS, LLC

Jan 2008 – Oct 2009

SEATTLE, WA

A. G. EDWARDS & SONS, INC.

Mar 2007 – Jan 2008

SEATTLE, WA

Registrations & Exams

FINRA examinations passed

Series 7

Series 65

Series 66

Registration record

First registered · March 5, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

EMPIRICAL FINANCIAL SERVICES, LLC

CRD 152622 · SEC 801-72168

AUM

$5.5B

Regulatory assets under management

Employees

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 →

Introduction

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Frequently Asked Questions

What services does Lorne David Enquist offer?

Lorne David Enquist specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in SEATTLE, Washington for a consultation.

What are Lorne David Enquist's credentials?

Lorne David Enquist is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Lorne David Enquist located?

Lorne David Enquist 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 Lorne David Enquist charge for services?

Lorne David Enquist'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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