Mia Zhao
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.
Mia Zhao, CFP®, who also goes by Wen Zhao, was a registered financial professional .
Mia is a previously registered financial professional and started their career in finance in 2022. Mia 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
Start date: 2021
Experience
June 14, 2022 - November 3, 2022
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.
Visual representation of state registrations
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
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.
