Mark J. Govoni

EMPIRICAL ASSET MANAGEMENT

WARNER, NH 03278

Some features on this profile are disabled

CRD#: 1410122

Professional summary

Mark John Govoni is a registered financial advisor currently at EMPIRICAL ASSET MANAGEMENT, LLC located in Warner, New Hampshire.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Mark has worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 24 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.

1) BAGLEY POND PERENNIALS; NO; 648 PUMPKIN HILL RD, WARNER, NH 03278; NURSERY/ FARM; 04/2019; 30 HRS/ MONTH; 0 HRS/ MONTH DURING TRADING HRS; LABOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark John Govoni'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

April 3, 2024 - Present

EMPIRICAL ASSET MANAGEMENT, LLC

Office #1: 15 East Main St 2, Warner, NH 03278

RIA

CRD#: 155436

WARNER, NH

Past

August 20, 2009 - April 11, 2024

BOSTON ASSET MANAGEMENT, INC.

RIA

CRD#: 112768

Warner, NH

Past

April 1, 2003 - September 7, 2004

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA

CRD#: 105842

MANCHESTER, NH

Past

September 15, 2000 - April 1, 2003

FLEET INVESTMENT ADVISORS INC.

RIA

CRD#: 108403

MANCHESTER, NH

Past

September 21, 1992 - June 20, 1996

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

September 25, 1990 - September 30, 1992

BRAUER & ASSOCIATES, INC.

CRD#: 18278

ST. PETERSBURG, FL

Past

March 10, 1987 - September 28, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 2, 1987 - February 12, 1987

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

September 24, 1985 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

COLTS NECK, NJ

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

New Hampshire
(4/3/2024)

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 66

Date: 9/7/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/31/1992

General Securities Principal Examination

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Robert Johnson

CETERA INVESTMENT ADVISERS LLC

IAR

MUSKEGON, MI

Nicholas Chen-zhao

JEFFERIES LLC

NEW YORK, NY

Alan Rubenfeld

DWS DISTRIBUTORS, INC.

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark J. Govoni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark John Govoni's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOSTON ASSET MANAGEMENT, INC.

COLUMBIA MANAGEMENT ADVISORS, INC.

FLEET INVESTMENT ADVISORS INC.

SECURITIES AMERICA, INC.

BRAUER & ASSOCIATES, INC.

CITIGROUP GLOBAL MARKETS INC.

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

EMPIRICAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/7/2000

Series 63

Date: 10/3/1985

Series 7

Date: 9/21/1985

Series 24

Date: 12/31/1992

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

Similar Advisors