Wenwen Dong

EMPIRICAL WEALTH MANAGEMENT

San Mateo, CA 94402

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CRD#: 6643585

Professional summary

Wenwen Dong, CFP®, who also goes by Wenwen Dong, is a registered financial advisor currently at EMPIRICAL WEALTH MANAGEMENT located in San Mateo, California.

Wenwen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Wenwen has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wenwen Dong

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.

WENSHASHA TRUST POSITION: Trustee NATURE: Rental Properties. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/2020 ADDRESS: 6934 Meadow St, Unit 305, Anchorage AK 99507, United States DESCRIPTION: Rent, sale and purchase of properties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wenwen Dong'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

September 30, 2022 - Present

EMPIRICAL WEALTH MANAGEMENT

Office #1: 1300 S El Camino Real Suite 302, San Mateo, CA 94402

RIA

CRD#: 152622

San Mateo, CA

Past

February 25, 2022 - August 31, 2022

CONFIDENCE WEALTH MANAGEMENT, INC.

RIA

CRD#: 127383

HENDERSON, NV

Past

January 21, 2021 - November 18, 2021

ALASKA WEALTH ADVISORS

RIA

CRD#: 172151

ANCHORAGE, AK

Past

February 24, 2020 - December 17, 2020

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

ANCHORAGE, AK

Past

February 24, 2020 - December 17, 2020

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

ANCHORAGE, AK

Past

March 7, 2019 - December 13, 2019

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Anchorage, AK

Past

March 7, 2019 - December 13, 2019

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

ANCHORAGE, AK

Past

August 24, 2017 - February 21, 2019

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

July 6, 2016 - September 1, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

TEMPE, AZ

Past

June 4, 2016 - September 1, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

TEMPE, AZ

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
(9/30/2022)

IAR

California
(9/30/2022)

IAR

Washington
(9/30/2022)

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 65

Date: 6/29/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/3/2016

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

Wenwen Dong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wenwen Dong's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONFIDENCE WEALTH MANAGEMENT, INC.

ALASKA WEALTH ADVISORS

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

VANGUARD MARKETING CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

EMPIRICAL WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2016

Series 63

Date: 6/9/2016

SIE

Date: 10/1/2018

Series 6

Date: 6/3/2016

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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