JM
John T. Miller
EMPIRICAL WEALTH MANAGEMENT
San Francisco, CA 94104
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CRD#: 6872220
JM
Professional summary
John Thomas Miller, CFP® is a registered financial advisor currently at EMPIRICAL WEALTH MANAGEMENT located in San Francisco, California.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. John has worked at 2 firms and has passed the Series 65 exam.
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.
Name of other business: Michael Florentino Cellars. Is business investment-related?: No. Address of other business: 19501 144th Ave. NE, Woodinville, WA 98072. Nature of other business: Wine making. Position/Title: Assistant. Start date of relationship: 02/19/2020. Approximate number of hours/month devoted to other business: 6-10 hours. Number of hours devoted to other business during securities trading hours: 0. Brief description of duties relating to other business: Help with various jobs needed in the wine making process, and pouring wine.
CRS (Client Relationship Summary) - RIA
Click below to view John Thomas Miller'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
April 26, 2018 - Present
EMPIRICAL WEALTH MANAGEMENT
Office #1: 333 Bush Street 31st Floor, San Francisco, CA 94104RIA
CRD#: 152622
San Francisco, CA
Past
December 14, 2018 - March 20, 2024
DIRECTIONAL FINANCIAL SERVICES
RIA
CRD#: 171903
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".
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
Alaska(12/14/2018)
IAR
California(12/14/2018)
IAR
Oregon(12/14/2018)
IAR
Washington(4/26/2018)
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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