Adithya Umesh
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.
Adithya Umesh was a registered financial professional .
Adithya is a previously registered financial professional and started their career in finance in 2020. Adithya had worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2023 - April 30, 2024
EMPIRICAL WEALTH MANAGEMENT
April 21, 2022 - July 14, 2023
MARINER WEALTH
October 12, 2020 - June 16, 2021
STANCORP EQUITIES, INC.
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.
Visual representation of state registrations
Exams
Series 6TO
Date: 10/12/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
EMPIRICAL WEALTH MANAGEMENT
CRD#: 152622 / SEC#: 801-72168
Contact information
SEC notice filing (41 States and Territories)
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.
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