AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WS

Wesley A. Sapp

EMPIRICAL RESEARCH PARTNERS LLC
ATLANTA, GA
Some features on this profile are disabled
CRD#: 5367637
WS

Professional summary

Wesley Adam Sapp, who also goes by Wes Adam Sapp, Wesley Sapp, is a registered financial advisor currently at EMPIRICAL RESEARCH PARTNERS LLC located in Atlanta, Georgia.

Wesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Wesley has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Wes Adam Sapp | Wesley Sapp

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 Wesley Adam Sapp's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Wesley Adam Sapp's 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

August 23, 2023 - Present

EMPIRICAL RESEARCH PARTNERS LLC

RIA
BD
CRD#: 123520
ATLANTA, GA
Current

March 4, 2009 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 565 Fifth Avenue 25th Floor, New York, NY 10017
RIA
BD
CRD#: 123520
New York, NY
Past

January 20, 2009 - February 10, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 28, 2008 - December 23, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/4/2009)
IAR
New York
(8/23/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/15/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/3/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 6/8/2010
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 5/18/2010
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 10/27/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ER
EMPIRICAL RESEARCH PARTNERS LLC
EMPIRICAL RESEARCH PARTNERS LLC

CRD#: 123520 / SEC#: , 8-65590

New York
Registered Investment Advisory firm - SEC (8/23/2023 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
551 Fifth Avenue Suite 1800, New York`, NY 10176
Mailing Address
551 Fifth Avenue Suite 1800, New York, NY 10176
Phone number
(212) 803-8000
Established
Delaware since 06/25/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
25

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GOLDSTEIN, MICHAEL LEWISMANAGING MEMBER / CHIEF COMPLIANCE OFFICER1661076
SCHILLING, MICHAEL JAMESFINOP2609624

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.

Company Information

EMPIRICAL RESEARCH PARTNERS LLC

CRD#: 123520Atlanta, GA

TRUST BUT VERIFY

Monitor Wesley Sapp

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.