Kenneth Smith has been Chief Executive Officer & Member of Empirical Financial Services since October 2010, is a control person of the firm and directly owns between 50% and 75% of it. Kenneth Smith holds a Master's in Financial Analysis from the College for Financial Planning and a Bachelor's in Finance and Accounting from the University of Arizona.
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.
Kenneth R. Smith is Chief Executive Officer of Empirical Wealth Management, based in Newport Beach, CA. He guides the firm's long-term strategy and is a senior financial advisor. He hosted the radio show "Empirical Investing Radio" on VoiceAmerica and designed the "Empirical Income Planner" program to help individuals plan for retirement.
Kenneth Smith’s longest registration is the current one, 16 years at Empirical Financial Services since 2010. Before joining Empirical Financial Services in 2010, Kenneth Smith 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– · 4 yearsPortland, OR · Adviser representative · Firm CRD 109218
Professional designations
Listed by Empirical Financial Services
- CFP®
Investment adviser representative registrations
Kenneth Smith is registered as an investment adviser representative in 3 states. The first approvals date from June 2010; the most recent is Alaska, in June 2011.
- AlaskaSince 1 June 2011
- CaliforniaSince 28 July 2010
- WashingtonSince 18 June 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 2 August 2000 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 8 February 2000 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 8 February 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 August 1995 |
| Series 7 | General Securities Representative Examination | 11 August 1995 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kenneth Robert Smith
- CRD
- 2598986
- Firm
- Empirical Financial Services · CRD 152622
- Role
- Chief Executive Officer & Member
- Office
- 1420 5TH AVE, SUITE 3150, Seattle, WA 98101
- Registration
- Investment adviser registration
- In the industry since
- December 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- empirical.net
Where does Kenneth Smith work?
Kenneth Smith has been Chief Executive Officer & Member of Empirical Financial Services, LLC since October 2010, and is a control person of the firm.
Is Kenneth Smith a financial advisor?
Yes. Kenneth Smith has a current investment-adviser registration in Alaska, California and Washington, through Empirical Financial Services since June 2010.
How many years of experience does Kenneth Smith have?
Kenneth Smith has 24 years in the financial industry, since December 2001, across 5 adviser firms.
What exams has Kenneth Smith passed?
Kenneth Smith has passed 5 licensing exams: the Series 7, Series 63, Series 10, Series 9 and Series 66. The earliest, the Series 7, was passed in August 1995.
Where did Kenneth Smith work before Empirical Financial Services?
Before Empirical Financial Services, Kenneth Smith was registered through Directional Financial Services, April 2007 to April 2009; Chinook Capital Management LLC, December 2001 to July 2006.
Where is Kenneth Smith based?
Kenneth Smith’s registered office is in Seattle, WA.
Is Kenneth Smith registered with FINRA?
No. Kenneth Smith has no current broker registration.
Is Kenneth Smith a CFP?
Empirical Financial Services lists Kenneth Smith with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Kenneth Smith’s record?
Search CRD 2598986 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kenneth Smith’s full registration record.
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
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