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Empire Financial Management Company, LLC CRD 146097
$706M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-24 |
Branch Locations
101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kern, Suslow Securities, Inc. | New York | NY | 07/1999 | 02/2019 |
| R F Lafferty & Co Inc. | New York | NY | 01/2012 | 01/2019 |
| Empire Asset Management Company, Llc | New York | NY | 02/2019 | Present |
| Empire Financial Management Company, Llc | New York | NY | 02/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-17 |
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