Ethan A. Broga

EMPIRICAL WEALTH MANAGEMENT

Seattle, WA 98101

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CRD#: 4272080

Professional summary

Ethan Andrew Broga, CFP® is a registered financial advisor currently at EMPIRICAL WEALTH MANAGEMENT located in Seattle, Washington.

Ethan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Ethan has worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Andrew Broga'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: 2003

Experience

Current

July 27, 2010 - Present

EMPIRICAL WEALTH MANAGEMENT

Office #1: 1420 5th Ave Suite 3150, Seattle, WA 98101

RIA

CRD#: 152622

Seattle, WA

Past

October 3, 2015 - December 15, 2017

DIRECTIONAL FINANCIAL SERVICES

RIA

CRD#: 171903

SEATTLE, WA

Past

April 13, 2007 - April 22, 2009

DIRECTIONAL FINANCIAL SERVICES

RIA

CRD#: 143704

SEATTLE, WA

Past

November 7, 2006 - November 19, 2010

EMPIRICAL WEALTH MANAGEMENT, LLC

RIA

CRD#: 140103

PORTLAND, OR

Past

November 7, 2003 - July 7, 2006

CHINOOK CAPITAL MANAGEMENT LLC

RIA

CRD#: 109218

SEATTLE, WA

Past

March 16, 2001 - October 22, 2003

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

LYNNWOOD, WA

Past

January 12, 2001 - October 22, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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
(6/1/2011)

IAR

California
(7/28/2010)

IAR

Washington
(7/27/2010)

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: 1/8/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/3/2000

General Securities Representative 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

Ethan A. Broga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Andrew Broga's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIRECTIONAL FINANCIAL SERVICES

DIRECTIONAL FINANCIAL SERVICES

EMPIRICAL WEALTH MANAGEMENT, LLC

CHINOOK CAPITAL MANAGEMENT LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

EMPIRICAL WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/8/2001

Series 7

Date: 10/3/2000

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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