Emily E. Schwartz

WAFD WEALTH,

SEATTLE, WA 98161

Some features on this profile are disabled

CRD#: 5652952

Professional summary

Emily E Schwartz, who also goes by Emily Elizabeth Schwartz, is a registered financial advisor currently at WAFD WEALTH, INC located in Seattle, Washington.

Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Emily has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emily Elizabeth Schwartz

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 Emily E Schwartz'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

October 10, 2025 - Present

WAFD WEALTH, INC

Office #1: 1215 Fourth Avenue Suite 2200, Seattle, WA 98161

RIA

CRD#: 337346

SEATTLE, WA

Past

October 28, 2022 - September 23, 2025

MORGAN STANLEY

RIA

CRD#: 149777

Bellevue, WA

Past

October 28, 2022 - September 23, 2025

MORGAN STANLEY

CRD#: 149777

Bellevue, WA

Past

December 5, 2012 - October 31, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SEATTLE, WA

Past

October 16, 2012 - October 31, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SEATTLE, WA

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

Washington
(10/10/2025)

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: 12/3/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2012

General Securities Representative Examination

Current Firm

WAFD WEALTH, INC

CRD#: 337346 / SEC#: 801-134074

RIA

Registered Investment Advisory firm - (8/1/2025 120-Day Approval)

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

1215 Fourth Avenue Suite 2200, Seattle, WA 98161

Mailing Address

Phone number

(206) 467-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLSOURE BROCHURE FOR WAFD WEALTH, INC. (8/29/2025)

WRAP FEE PROGRAM FOR WAFD WEALTH, INC (8/29/2025)

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

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Emily E. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily E Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAFD WEALTH, INC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2012

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2012

Current Firm

WAFD WEALTH, INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

WAFD WEALTH, INC

TRUST BUT VERIFY

Similar Advisors