Mark B. Umek

EMPIRICAL WEALTH MANAGEMENT

Portland, OR 97205

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CRD#: 4593353

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark B Umek

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 Mark Bret Umek'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

Experience

Current

May 16, 2018 - Present

EMPIRICAL WEALTH MANAGEMENT

Office #1: 805 Sw Broadway, Portland, OR 97205

RIA

CRD#: 152622

Portland, OR

Past

January 23, 2015 - June 8, 2018

FISHER INVESTMENTS

RIA

CRD#: 107342

CAMAS, WA

Past

May 10, 2012 - December 31, 2014

CAPITAL FINANCIAL CONSULTANTS GROUP, INC.

RIA

CRD#: 133657

POWAY, CA

Past

February 22, 2011 - December 31, 2014

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SANDPOINT, ID

Past

February 22, 2011 - December 31, 2014

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SANDPOINT, ID

Past

December 9, 2008 - February 11, 2011

QA3 FINANCIAL LLC

RIA

CRD#: 104957

SAN DIEGO, CA

Past

December 9, 2008 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

SAN DIEGO, CA

Past

September 13, 2006 - December 8, 2008

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

SAN DIEGO, CA

Past

August 4, 2006 - December 8, 2008

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SAN DIEGO, CA

Past

January 7, 2004 - December 31, 2004

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

August 22, 2003 - December 15, 2003

METROPOLITAN INVESTMENT SECURITIES, INC.

CRD#: 14146

SPOKANE, WA

Past

October 17, 2002 - June 24, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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
(12/11/2019)

IAR

California
(12/11/2019)

IAR

Idaho
(12/11/2019)

IAR

Oregon
(5/16/2018)

IAR

Texas
(12/11/2019)

IAR

Washington
(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

State Security Law Exam

IAR

Series 66

Date: 8/15/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/30/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/16/2002

Investment Company Products/Variable Contracts 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

Mark B. Umek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Bret Umek's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

CAPITAL FINANCIAL CONSULTANTS GROUP, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

ONEAMERICA SECURITIES, INC.

METROPOLITAN INVESTMENT SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

EMPIRICAL WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2006

Series 63

Date: 12/30/2002

SIE

Date: 12/31/2014

Series 7

Date: 9/10/2003

Series 6

Date: 10/16/2002

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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