Mark Bret Umek
CFP®Professional Summary
Mark Bret Umek, CFP®, who also goes by Mark B Umek, is a registered financial advisor currently at EMPIRICAL WEALTH MANAGEMENT located in Portland, Oregon. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Mark has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mark B Umek
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Credentials
Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
EMPIRICAL FINANCIAL SERVICES, LLC | EMPIRICAL WEALTH MANAGEMENT
Contact Information
Main Address
1420 5th Ave Suite 3150, Seattle, WA 98101Phone Number
(206) 923-3474# of Employees
94SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
8,690AUM (Assets Under Management)
$8,428,968,273Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
EMPIRICAL FINANCIAL SERVICES, LLC | EMPIRICAL WEALTH MANAGEMENT
State Registrations and Notice Filings
(12/11/2019)
(12/11/2019)
(12/11/2019)
(12/11/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2002About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Mark Bret Umek's CRS (Customer Relationship Summary).
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