Shan Zubair has been Financial Advisor & Member of Empirical Financial Services since December 2018, is a control person of the firm and directly owns under 5% of it. Shan Zubair holds a Bachelor of Arts in Finance from Seattle University and a Master of Science in Finance from Seattle University. Shan Zubair is a graduate of certificate in business development, University of Washington.
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.
Shan Zubair is Senior Financial Advisor of Empirical Wealth Management, based in Irvine, CA. He has nearly two decades of experience. In his early career with Empirical he served as a Financial Operations Manager and a Financial Advisor, working alongside the firm's CEO and CFO. In 2018 he relocated to Southern California to help establish and lead Empirical's Southern California offices, after more than a decade of serving clients in the Pacific Northwest.
Shan Zubair’s longest registration is the current one, 16 years at Empirical Financial Services since 2010. Before joining Empirical Financial Services in 2010, Shan Zubair was registered through Empirical Wealth Management, LLC.
- Directional Financial Services– · 2 yearsSeattle, WA · Adviser representative · Firm CRD 171903
- Empirical Wealth ManagementCurrent– present · 16 yearsIrvine, CA · Adviser representative · Firm CRD 152622
- Empirical Wealth Management, LLC– · 1 yearSeattle, WA · Adviser representative · Firm CRD 140103
Professional designations
Listed by Empirical Financial Services
- CFP®
- Chartered Mutual Fund Counselor
Investment adviser representative registrations
Shan Zubair is registered as an investment adviser representative in 2 states. The first approvals date from July 2010; the most recent is Alaska, in October 2013.
- AlaskaSince 21 October 2013
- WashingtonSince 27 July 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 30 March 2009 |
- Name
- Uniform Investment Adviser Law Examination
- CRD
- 5594403
- Firm
- Empirical Financial Services · CRD 152622
- Role
- Financial Advisor & Member
- Office
- 2955 Main Street, Suite 208, Irvine, CA 92614
- Registration
- Investment adviser registration
- In the industry since
- March 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- empirical.net
Where does Shan Zubair work?
Shan Zubair has been Financial Advisor & Member of Empirical Financial Services, LLC since December 2018, and is a control person of the firm.
Is Shan Zubair a financial advisor?
Yes. Shan Zubair has a current investment-adviser registration in Alaska and Washington, through Empirical Financial Services since July 2010.
How many years of experience does Shan Zubair have?
Shan Zubair has 17 years in the financial industry, since March 2009, across 3 adviser firms.
What exams has Shan Zubair passed?
Shan Zubair passed the Series 65 in March 2009.
Where is Shan Zubair based?
Shan Zubair’s registered office is in Irvine, CA.
Is Shan Zubair registered with FINRA?
No. Shan Zubair has no current broker registration.
Is Shan Zubair a CFP?
Empirical Financial Services lists Shan Zubair with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Shan Zubair’s record?
Search CRD 5594403 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Shan Zubair’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
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