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Investment Adviser Firm Summary

EMPIRICAL FINANCIAL SERVICES, LLC (CRD# 152622 / SEC# 801-72168)
Alternate Names: EMPIRICAL FINANCIAL SERVICES, LLC , EMPIRICAL WEALTH MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/23/2011
Arizona Terminated 02/23/2011
California Terminated 02/25/2011
Texas Terminated 02/23/2011
Washington Terminated 02/23/2011

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alaska 02/23/2011
Arizona 02/23/2011
California 07/28/2010
Colorado 04/30/2015
Delaware 11/23/2015
Florida 08/13/2015
Hawaii 05/20/2015
Idaho 08/10/2015
Illinois 04/30/2015
Louisiana 01/02/2013
Massachusetts 03/11/2015
Minnesota 03/11/2015
Missouri 08/23/2016
Montana 04/17/2014
Nevada 03/11/2015
New Jersey 02/12/2013
New York 03/11/2015
Ohio 02/15/2018
Oregon 02/23/2011
Texas 02/23/2011
Washington 02/23/2011

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser