Simon Liu has been Chief Marketing Technology Officer & Member of Empirical Financial Services since December 2018, is a control person of the firm and directly owns under 5% of it. Simon Liu holds a Bachelor's in Economics from the 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.
Simon Liu is Chief Marketing Technology Officer of Empirical Wealth Management, based in Seattle, WA. He manages the technology and marketing needs for Empirical, works to maintain and develop efficiencies with the tools the advisory team uses, and works closely with the partners to develop and improve the Empirical brand. He has a background in portfolio management and as an associate advisor.
Simon Liu’s longest registration is the current one, 16 years at Empirical Financial Services since 2010. Before joining Empirical Financial Services in 2010, Simon Liu was registered through 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
- Empirical Wealth Management, LLC– · 1 yearPortland, OR · Adviser representative · Firm CRD 140103
Professional designations
Listed by Empirical Financial Services
- Project Management Professional ®
- Chartered Mutual Fund Counselor ℠
Investment adviser representative registrations
Simon Liu is registered as an investment adviser representative in Washington, since July 2010.
- WashingtonSince 27 July 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 27 February 2009 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Simon Joshua Liu
- CRD
- 5635019
- Firm
- Empirical Financial Services · CRD 152622
- Role
- Chief Marketing Technology Officer & Member
- Office
- 1420 5TH AVE, SUITE 3150, Seattle, WA 98101
- Registration
- Investment adviser registration
- In the industry since
- March 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- empirical.net
Where does Simon Liu work?
Simon Liu has been Chief Marketing Technology Officer & Member of Empirical Financial Services, LLC since December 2018, and is a control person of the firm.
Is Simon Liu a financial advisor?
Yes. Simon Liu has a current investment-adviser registration in Washington, through Empirical Financial Services since July 2010.
How many years of experience does Simon Liu have?
Simon Liu has 17 years in the financial industry, since March 2009, across 3 adviser firms.
What exams has Simon Liu passed?
Simon Liu passed the Series 65 in February 2009.
Where is Simon Liu based?
Simon Liu’s registered office is in Seattle, WA.
Is Simon Liu registered with FINRA?
No. Simon Liu has no current broker registration.
How can I verify Simon Liu’s record?
Search CRD 5635019 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Simon Liu’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
Joseph Homer MercadoChief Business Development Officer & Member
Jaime WhiteChief Strategy Officer & Member
Shan ZubairFinancial Advisor & Member