James Jones has been Director of Tax and Wealth Transfer & Member of Empirical Financial Services since December 2018, is a control person of the firm and directly owns under 5% of it. James Jones holds a Juris Doctor (JD) from the University of Washington School of Law, a Master's in Professional Accounting (Auditing and Assurance) from the University of Washington and a Bachelor's in Business Administration.
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.
James A. Jones II is Chief Tax & Estate Strategist of Empirical Wealth Management, based in Seattle, WA. He leads the firm's advanced tax and estate planning initiatives, integrating complex tax and wealth transfer strategies across the wealth management teams. He designs and oversees planning structures for high net worth clients, families, and business owners.
James Jones’ longest registration is the current one, 9 years at Empirical Financial Services since 2016.
- Empirical Wealth ManagementCurrent– present · 9 yearsSeattle, WA · Adviser representative · Firm CRD 152622
- Directional Financial Services– · 1 yearSeattle, WA · Adviser representative · Firm CRD 171903
Professional designations
Listed by Empirical Financial Services
- CPA
Investment adviser representative registrations
James Jones is registered as an investment adviser representative in Washington, since December 2016.
- WashingtonSince 21 December 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 21 December 2016 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- James Allen Jones
- CRD
- 6699732
- Firm
- Empirical Financial Services · CRD 152622
- Role
- Director of Tax and Wealth Transfer & Member
- Office
- 1420 5TH AVE, SUITE 3150, Seattle, WA 98101
- Registration
- Investment adviser registration
- In the industry since
- December 2016
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- empirical.net
Where does James Jones work?
James Jones has been Director of Tax and Wealth Transfer & Member of Empirical Financial Services, LLC since December 2018, and is a control person of the firm.
Is James Jones a financial advisor?
Yes. James Jones has a current investment-adviser registration in Washington, through Empirical Financial Services since December 2016.
How many years of experience does James Jones have?
James Jones has 9 years in the financial industry, since December 2016, across 2 adviser firms.
What exams has James Jones passed?
James Jones passed the Series 65 in December 2016.
Where is James Jones based?
James Jones’ registered office is in Seattle, WA.
Is James Jones registered with FINRA?
No. James Jones has no current broker registration.
How can I verify James Jones’ record?
Search CRD 6699732 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Jones’ 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
Ethan BrogaDirector of Financial Planning & 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