DIRECTIONAL FINANCIAL SERVICES, LLC
Legal name: DIRECTIONAL FINANCIAL SERVICES
CRD #171903 SEC #801-79954 SEATTLE, WA 206-508-3240
SEC Registered
Total AUM
$9M
Discretionary
$9M
Employees
4
Clients
0
Accounts
90
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Washington
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 27, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROGA, ETHAN, ANDREW | I | MEMBER | NA | Control |
| BROGA, ETHAN, ANDREW | I | MEMBER | NA | Control |
| BROGA, ETHAN, ANDREW | I | MEMBER | NA | Control |
| BROGA, ETHAN, ANDREW | I | MEMBER | NA | Control |
| BROGA, ETHAN, ANDREW | I | MEMBER | NA | Control |
| BROGA, ETHAN, ANDREW | I | MEMBER | NA | Control |
| BROGA, ETHAN, ANDREW | I | MEMBER | NA | Control |
| BULLER, JUSTIN, WYATT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BULLER, JUSTIN, WYATT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BULLER, JUSTIN, WYATT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BULLER, JUSTIN, WYATT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BULLER, JUSTIN, WYATT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BULLER, JUSTIN, WYATT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CONTRERAS, SHANNON, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ENQUIST, LORNE, DAVID | I | CHIEF FINANCIAL OFFICER AND MEMBER | NA | Control |
| ENQUIST, LORNE, DAVID | I | CHIEF FINANCIAL OFFICER AND MEMBER | NA | Control |
| ENQUIST, LORNE, DAVID | I | CHIEF FINANCIAL OFFICER AND MEMBER | NA | Control |
| ENQUIST, LORNE, DAVID | I | CHIEF FINANCIAL OFFICER AND MEMBER | NA | Control |
| ENQUIST, LORNE, DAVID | I | CHIEF FINANCIAL OFFICER AND MEMBER | NA | Control |
| ENQUIST, LORNE, DAVID | I | CHIEF FINANCIAL OFFICER AND MEMBER | NA | Control |
| ENQUIST, LORNE, DAVID | I | CHIEF FINANCIAL OFFICER AND MEMBER | NA | Control |
| FARNSWORTH, LINDSAY, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FARNSWORTH, LINDSAY, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FARNSWORTH, LINDSAY, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FARNSWORTH, LINDSAY, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FARNSWORTH, LINDSAY, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOLDERMAN, JAIME, CHELAN CHRISTINA | I | CHIEF COMPLIANCE OFFICER | NA | |
| Jones, James, Allen | I | CHIEF COMPLIANCE OFFICER | NA | |
| Jones, James, Allen | I | CHIEF COMPLIANCE OFFICER | NA | |
| Jones, James, Allen | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | Control |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | Control |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | Control |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | Control |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | Control |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | Control |
| KELLY, MICHAEL, PATRICK | I | CHIEF INVESTMENT OFFICER | NA | Control |
| PARK, HWA, CHONG | I | CHIEF OPERATING OFFICER | NA | |
| PARK, HWA, CHONG | I | CHIEF OPERATING OFFICER | NA | Control |
| PARK, HWA, CHONG | I | CHIEF OPERATING OFFICER | NA | Control |
| PARK, HWA, CHONG | I | CHIEF OPERATING OFFICER | NA | Control |
| PARK, HWA, CHONG | I | CHIEF OPERATING OFFICER | NA | Control |
| SIPPLE, JULIA, BALITSKY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SIPPLE, JULIA, BALITSKY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SIPPLE, JULIA, BALITSKY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SIPPLE, JULIA, BALITSKY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SIPPLE, JULIA, BALITSKY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SIPPLE, JULIA, BALITSKY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WHITE, JAIME, CHELAN CHRISTINA | I | CHIEF OPERATIONS OFFICER | NA | |
| WHITE, JAIME, CHELAN CHRISTINA | I | CHIEF OPERATIONS OFFICER | NA | |
| WHITE, JAIME, CHELAN CHRISTINA | I | CHIEF OPERATING OFFICER | NA | Control |
| WHITE, JAIME, CHELAN CHRISTINA | I | CHIEF OPERATING OFFICER | NA | Control |
| WHITE, JAIME, CHELAN CHRISTINA | I | CHIEF OPERATING OFFICER | NA | Control |
| WHITE, JAIME, CHELAN CHRISTINA | I | CHIEF OPERATING OFFICER | NA | Control |
| WHITE, JAIME, CHELAN CHRISTINA | I | CHIEF OPERATING OFFICER | NA | Control |
| WHITE, JAIME, CHELAN CHRISTINA | I | CHIEF OPERATING OFFICER | NA | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| EMPIRICAL WEALTH MANAGEMENT | DE | OWNER | E | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | D | Control |
| SMITH, KENNETH, ROBERT | I | CHIEF EXECUTIVE OFFICER | D | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL FINANCIAL SERVICES, LLC | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
| SMITH, KENNETH, ROBERT | I | EMPIRICAL WEALTH MANAGEMENT | D | Control |
Registrations
Federal
IA
Mar 27, 2025 REGISTERED
Notice Filings (4)
AZ LA OR WA
Address
1420 5TH AVESUITE 3150
SEATTLE, WA 98101
United States
Phone: 206-508-3240