Yisha Wang
EMPIRICAL WEALTH MANAGEMENT | Wealth Advisor
WALNUT CREEK, CA 94596
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CRD#: 6442222
Professional summary
Yisha Wang, CFP® is a registered financial advisor currently at EMPIRICAL WEALTH MANAGEMENT located in Walnut Creek, California.
Yisha is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Yisha has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Biography
Yisha works with clients to develop personalized wealth management solutions to help them achieve their goals and to help grow and protect their wealth.
She holds a bachelor’s degree in economics with a minor in global studies from the University of California, Los Angeles.
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.
LPS STUDIO; NON-INVESTMENT RELATED; DANCE STUDIO; INSTRUCTOR; START DATE 1/25/23; 20 HRS PER MONTH, 0 HRS DURING TRADING HOURS; LEAD CLASS OF STUDENTS IN MOBILITY AND FLEXIBILITY EXCERCISES.
CRS (Client Relationship Summary) - RIA
Click below to view Yisha Wang'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®
Experience
Current
June 24, 2024 - Present
EMPIRICAL WEALTH MANAGEMENT
Office #1: 2121 N. California Blvd Suite 290, Walnut Creek, CA 94596RIA
CRD#: 152622
WALNUT CREEK, CA
Past
June 3, 2022 - June 28, 2024
MARINER WEALTH
RIA
CRD#: 140195
DANVILLE, CA
Past
June 3, 2022 - May 22, 2024
MSEC, LLC
BD
CRD#: 154327
Danville, CA
Past
July 2, 2019 - June 3, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
LOS ANGELES, CA
Past
July 2, 2019 - June 3, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LOS ANGELES, CA
Past
April 1, 2019 - May 23, 2019
AMI ASSET MANAGEMENT CORP
RIA
CRD#: 110291
LOS ANGELES, CA
Past
June 7, 2017 - February 27, 2018
WEDBUSH SECURITIES INC.
BD
CRD#: 877
LOS ANGELES, CA
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".
EW
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)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
California(6/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
EW
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
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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
94
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,402 |
| AUM (Assets Under Management) | $ 6,701,226,120 |
Red Flags
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Company Information
EMPIRICAL WEALTH MANAGEMENT
Wealth AdvisorCRD#: 152622Walnut Creek, CA 94596TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
