Ethan Broga has been Director of Financial Planning & Member of Empirical Financial Services since October 2010, is a control person of the firm and directly owns between 5% and 10% of it. Ethan Broga holds a Master's in Financial Planning from the College for Financial Planning and a Bachelor's in Finance from Washington State University.
Empirical Financial Services, LLC is a Seattle, WA firm with $8.43B under management, 2,400 clients and 57 advisers across 18 offices, as of its July 2026 filing.
Ethan Broga is Director of Financial Planning of Empirical Wealth Management, based in Seattle, WA. He develops, implements and monitors financial strategies and heads the Financial Planning Committee, which oversees the development of Empirical's financial planning recommendations. He has been in the financial industry since 1998.
Ethan Broga’s longest registration is the current one, 16 years at Empirical Financial Services since 2010. Before joining Empirical Financial Services in 2010, Ethan Broga was registered through Directional Financial Services and Empirical Wealth Management, LLC.
- Directional Financial Services– · 2 yearsSeattle, WA · Adviser representative · Firm CRD 171903
- Empirical Wealth ManagementCurrent– present · 16 yearsSeattle, WA · Adviser representative · Firm CRD 152622
- Directional Financial Services– · 2 yearsSeattle, WA · Adviser representative · Firm CRD 143704
- Empirical Wealth Management, LLC– · 4 yearsPortland, OR · Adviser representative · Firm CRD 140103
- Chinook Capital Management LLC– · 2 yearsSeattle, WA · Adviser representative · Firm CRD 109218
- Charles Schwab & Co., Inc.– · 2 yearsLynnwood, WA · Adviser representative · Firm CRD 5393
Professional designations
Listed by Empirical Financial Services
- CFP®
Investment adviser representative registrations
Ethan Broga is registered as an investment adviser representative in 3 states. The first approvals date from July 2010; the most recent is Alaska, in June 2011.
- AlaskaSince 1 June 2011
- CaliforniaSince 28 July 2010
- WashingtonSince 27 July 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 8 January 2001 |
| Series 7 | General Securities Representative Examination | 3 October 2000 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Ethan Andrew Broga
- CRD
- 4272080
- Firm
- Empirical Financial Services · CRD 152622
- Role
- Director of Financial Planning & Member
- Office
- 1420 5TH AVE, SUITE 3150, Seattle, WA 98101
- Registration
- Investment adviser registration
- In the industry since
- July 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- empirical.net
Where does Ethan Broga work?
Ethan Broga has been Director of Financial Planning & Member of Empirical Financial Services, LLC since October 2010, and is a control person of the firm.
Is Ethan Broga a financial advisor?
Yes. Ethan Broga has a current investment-adviser registration in Alaska, California and Washington, through Empirical Financial Services since July 2010.
How many years of experience does Ethan Broga have?
Ethan Broga has 25 years in the financial industry, since July 2001, across 6 adviser firms.
What exams has Ethan Broga passed?
Ethan Broga has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in October 2000.
Where did Ethan Broga work before Empirical Financial Services?
Before Empirical Financial Services, Ethan Broga was registered through Directional Financial Services, April 2007 to April 2009; Chinook Capital Management LLC, November 2003 to July 2006; Charles Schwab & Co., Inc., March 2001 to October 2003.
Where is Ethan Broga based?
Ethan Broga’s registered office is in Seattle, WA.
Is Ethan Broga registered with FINRA?
No. Ethan Broga has no current broker registration.
Is Ethan Broga a CFP?
Empirical Financial Services lists Ethan Broga with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Ethan Broga’s record?
Search CRD 4272080 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ethan Broga’s full registration record.
Kenneth SmithChief Executive Officer & Member
Michael KellyPresident & Chief Wealth Strategist & Member
Lorne EnquistChief Financial Officer & Member
Hwa ParkChief Operating Officer & Member
Justin BullerChief Compliance Officer & Member
James JonesDirector of Tax and Wealth Transfer & Member
Erik LehrChief Investment
Simon LiuChief Marketing Technology Officer & Member
Joseph Homer MercadoChief Business Development Officer & Member
Jaime WhiteChief Strategy Officer & Member
Shan ZubairFinancial Advisor & Member