Mark H. Fiskio

EMPIRICAL ASSET MANAGEMENT

Wellesley, MA 02481

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CRD#: 1197038

Professional summary

Mark Henry Fiskio is a registered financial advisor currently at EMPIRICAL ASSET MANAGEMENT, LLC located in Wellesley, Massachusetts.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Mark has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

EMPIRICAL FISCAL PARTNERS; YES; SAME ADDRESS; GP TO PRIVATE FUND; MANAGER; 08/2011; 5 HRS/MNTH; 5 HRS/MNTH DURING TRADING HRS; MANAGER AND MEMBER OF ENTITY THAT SERVES AS GP OF EAM PRIVATE FUND

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Henry Fiskio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 14, 2012 - Present

EMPIRICAL ASSET MANAGEMENT, LLC

Office #1: 57 River Street Suite 301, Wellesley, MA 02481

RIA

CRD#: 155436

Wellesley, MA

Past

June 8, 2016 - July 6, 2017

RACE ROCK CAPITAL LLC

CRD#: 153363

BOSTON, MA

Past

October 12, 2012 - November 18, 2013

M3 ADVISORY GROUP, LLC

RIA

CRD#: 156208

NEWTON, MA

Past

October 4, 2012 - June 9, 2014

HERBERT J. SIMS & CO, INC.

CRD#: 3420

FAIRFIELD, CT

Past

September 22, 2006 - October 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWTON, MA

Past

March 8, 2006 - October 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWTON, MA

Past

May 9, 1994 - March 8, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

March 15, 1990 - May 4, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 9, 1987 - March 26, 1990

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

October 20, 1983 - March 30, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/14/2012)

IAR

Texas
(5/28/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/3/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/23/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/15/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 Approved)

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Contact information

Main Address

57 River Street Suite 301, Wellesley, MA 02481

Mailing Address

Phone number

(781) 431-2223

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAM DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	988
AUM (Assets Under Management)	$ 467,001,856

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark H. Fiskio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Henry Fiskio's CRS (Customer Relationship Summary).

Certified licenses

Experience

RACE ROCK CAPITAL LLC

M3 ADVISORY GROUP, LLC

HERBERT J. SIMS & CO, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADVEST, INC.

UBS FINANCIAL SERVICES INC.

PERSHING LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

EMPIRICAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/3/2007

Series 63

Date: 10/27/1983

SIE

Date: 7/6/2017

Series 3

Date: 11/23/1983

Series 7

Date: 10/15/1983

Series 8

Date: 3/15/1996

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRICAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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