Lorne D. Enquist

EMPIRICAL WEALTH MANAGEMENT

Seattle, WA 98101

Some features on this profile are disabled

CRD#: 5270619

Professional summary

Lorne David Enquist is a registered financial advisor currently at EMPIRICAL WEALTH MANAGEMENT located in Seattle, Washington.

Lorne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Lorne has worked at 5 firms and has passed the Series 66, Series 65 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 Lorne David Enquist'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®

None

Experience

Current

June 1, 2011 - 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

October 2, 2009 - May 4, 2011

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

SEATTLE, WA

Past

October 2, 2009 - May 4, 2011

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

SEATTLE, WA

Past

January 1, 2008 - October 20, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SEATTLE, WA

Past

January 1, 2008 - October 20, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SEATTLE, WA

Past

March 5, 2007 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SEATTLE, WA

Past

February 15, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

SEATTLE, WA

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
(6/6/2011)

IAR

California
(6/1/2011)

IAR

Texas
(6/1/2011)

IAR

Washington
(6/1/2011)

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: 3/2/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/27/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/14/2007

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lorne D. Enquist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lorne David Enquist's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIRECTIONAL FINANCIAL SERVICES

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

EMPIRICAL WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2007

Series 65

Date: 10/27/2000

Series 7

Date: 2/14/2007

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

Similar Advisors