Jessica Roks, financial advisor Seattle WA

Jessica Roks

CRD Number: 5731201
Current Firm: Empirical Wealth Management

Jessica Roks (CRD# 5731201) is an Investment Advisor Representative working at Empirical Wealth Management in Seattle, WA and has over 12 years of experience in the finance industry. Jessica Roks has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Empirical Wealth Management Irvine, CA Apr 2021 - Current 2
Creative Planning Overland Park, KS Jan 2017 - Apr 2021 4
M Holdings Securities, Inc. Porrtland, OR Feb 2015 - Dec 2016 1
Tippett Moorhead Costa Mesa, CA Feb 2015 - Dec 2016 1
The Ayco Company, LP Irvine, CA Apr 2011 - Jan 2015 3
Mercer Allied Irvine, CA Apr 2011 - Jan 2015 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2011
Contact Info for Jessica M. Roks
Phone Number: 206-923-3474
Registered State(s):
  • WA
By the Numbers
  • Total Assets Under Management
    4,179
    MILLIONS
  • Total Number of Accounts
    6,280
    ACCOUNTS
  • Average Account Value
    $665,435
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KS, LA, MA, ME, MI, MN, MO, MT, NC, NH, NJ, NM, NV, NY, OH, OR, PA, SC, TX, UT, VA, WA, WI, WY

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