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Joseph Rozzi

Empirical Asset Management, LLC

Needham, MA

Wellesley, MA

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Current Employers
Empirical Asset Management, Llc

57 River Street Suite 301, Wellesley, MA 02481 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-11-19
  • MA RA
    APPROVED
    Since 2025-11-19

Branch Locations

60 Kendrick St, Needham, MA 02494 • United States

57 River Street Suite 301, Wellesley, MA 02481 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Santander Bank, Na Boston MA 05/2018 07/2019
Santander Securities Llc Chestnut Hill MA 07/2018 06/2019
Merrimack College Norht Andover MA 09/2014 05/2018
Empirical Asset Management, Llc Needham MA 11/2022 Present
First Republic Bank Boston MA 08/2019 03/2022
Unemployed N/A XX 04/2022 10/2022
  • 05/2018 → 07/2019
    Santander Bank, Na
    Boston, MA
  • 07/2018 → 06/2019
    Santander Securities Llc
    Chestnut Hill, MA
  • 09/2014 → 05/2018
    Merrimack College
    Norht Andover, MA
  • 11/2022 → Present
    Empirical Asset Management, Llc
    Needham, MA
  • 08/2019 → 03/2022
    First Republic Bank
    Boston, MA
  • 04/2022 → 10/2022
    Unemployed
    N/A, XX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-10-01
S63 Uniform Securities Agent State Law Examination 2018-08-01
  • S65 Uniform Investment Adviser Law Examination
    2025-10-01
  • S63 Uniform Securities Agent State Law Examination
    2018-08-01

View on SEC IAPD

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INTEGRATED WEALTH CONCEPTS LLC
DARROW WEALTH MANAGEMENT
FREEMAN FINANCIAL LLC

Other Investors

MARC ALAN FANDETTI
BRENDAN KEVIN HAYES
SCOTT EVERETT WILSON
William Kurtz O'Connor
MICHELE CHRISTINE CROPLEY
Leonid Berline
Andrew Rudolph Haff
Michael Richard Bradley

Other Offices

ARMSTRONG ADVISORY GROUP INC. · NEEDHAM, MA
OSAIC WEALTH, INC. · NEEDHAM HEIGHTS, MA
GOODMAN ADVISORY GROUP, LLC · NEEDHAM, MA
PARK AVENUE SECURITIES LLC · NEEDHAM, MA
OSAIC WEALTH, INC. · NEEDHAM HEIGHTS, MA
M HOLDINGS SECURITIES, INC. · NEEDHAM, MA
INTEGRATED WEALTH CONCEPTS LLC · Needham, MA
DARROW WEALTH MANAGEMENT · NEEDHAM, MA

More in Needham, MA

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