Shannon J. Bene

EMPIRICAL WEALTH MANAGEMENT

Portland, OR 97205

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CRD#: 2691744

Professional summary

Shannon James Bene, CFP®, who also goes by Shannon James Bene Cfs, is a registered financial advisor currently at EMPIRICAL WEALTH MANAGEMENT located in Portland, Oregon.

Shannon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Shannon has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shannon James Bene Cfs

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Veloworks 2. Investment Related: No 3. (Personal Address) 4. Bicycle Repair 5. Owner 6. 10/13/2020 7. Hours devoted to business: 10 8. Hours devoted during Securities business: 0 9. Repair bicycles as well as occasionally buy and sell bicycles.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon James Bene's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

February 22, 2021 - Present

EMPIRICAL WEALTH MANAGEMENT

Office #1: 805 Sw Broadway Suite 2400, Portland, Or 97205 Suite 2400, Portland, OR 97205

RIA

CRD#: 152622

Portland, OR

Past

April 12, 2018 - March 5, 2021

HARRISDIRECT LLC

RIA

CRD#: 42159

Portland, OR

Past

April 5, 2018 - March 5, 2021

E*TRADE SECURITIES LLC

CRD#: 29106

Portland, OR

Past

August 29, 2013 - March 21, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

PORTLAND, OR

Past

August 7, 2013 - March 21, 2018

TD AMERITRADE, INC.

RIA

CRD#: 7870

PORTLAND, OR

Past

August 7, 2013 - March 21, 2018

TD AMERITRADE, INC.

CRD#: 7870

PORTLAND, OR

Past

January 22, 2007 - July 16, 2013

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

PORTLAND, OR

Past

June 22, 2000 - July 15, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

PORTLAND, OR

Past

January 1, 1996 - May 26, 2000

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMPIRICAL WEALTH MANAGEMENT

EMPIRICAL FINANCIAL SERVICES, LLC | EMPIRICAL WEALTH MANAGEMENT

CRD#: 152622 / SEC#: 801-72168

RIA

Registered Investment Advisory firm - (2/23/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/23/2011 Terminated)

California

Registered Investment Advisory firm - (2/25/2011 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2011 Terminated)

Washington

Registered Investment Advisory firm - (2/23/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alaska
(2/22/2021)

IAR

California
(2/22/2021)

IAR

Oregon
(2/22/2021)

IAR

Washington
(2/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/11/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/31/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/8/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/8/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

EMPIRICAL WEALTH MANAGEMENT

EMPIRICAL FINANCIAL SERVICES, LLC | EMPIRICAL WEALTH MANAGEMENT

CRD#: 152622 / SEC#: 801-72168

RIA

Registered Investment Advisory firm - (2/23/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/23/2011 Terminated)

California

Registered Investment Advisory firm - (2/25/2011 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2011 Terminated)

Washington

Registered Investment Advisory firm - (2/23/2011 Terminated)

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Contact information

Main Address

1420 5th Ave Suite 3150, Seattle, WA 98101

Mailing Address

Phone number

(206) 923-3474

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (11/7/2025)

EMPIRICAL WEALTH MANAGEMENT (11/7/2025)

Regulatory assets under management

Total Number of Accounts	8,402
AUM (Assets Under Management)	$ 6,701,226,120

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Shannon J. Bene

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon James Bene's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

EMPIRICAL WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/11/2007

Series 63

Date: 12/28/1995

SIE

Date: 10/1/2018

Series 7

Date: 7/31/2000

Series 6

Date: 12/14/1995

Series 10

Date: 10/8/2002

Series 9

Date: 10/8/2002

Current Firm

EMPIRICAL WEALTH MANAGEMENT

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRICAL WEALTH MANAGEMENT

TRUST BUT VERIFY

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