Carl John Basile

Employer firm

Empire Financial Management Company, LLC CRD 146097

$706M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Empire Financial Management Company, Llc

101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-03-29

NY RA
APPROVED

Since 2021-03-29

Branch Locations

101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Empire Asset Management Company	New York	NY	08/2016	Present
Empire Financial Management Company, Llc	New York	NY	08/2016	Present

08/2016 → Present

Empire Asset Management Company

New York, NY
08/2016 → Present

Empire Financial Management Company, Llc

New York, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-07-07

S63 Uniform Securities Agent State Law Examination

1993-07-07

Other Names

Carl John Basile
Carl John Basile Jr.
Carlo John Basile

View on SEC IAPD