Benjamin Z. Finley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Benjamin Z Finley, who also goes by Benjamin Zorn Finley, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2018. Benjamin had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2018 - December 17, 2018
EMPIRICAL WEALTH MANAGEMENT
Primary Firm SEC Registration
EMPIRICAL WEALTH MANAGEMENT
CRD#: 152622 / SEC#: 801-72168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
EMPIRICAL WEALTH MANAGEMENT
CRD#: 152622 / SEC#: 801-72168
Contact information
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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