Vadim Mostovoy

EMPIRE FINANCIAL MANAGEMENT COMPANY

NEW YORK, NY 10006

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CRD#: 2147364

Professional summary

Vadim Mostovoy is a registered financial advisor currently at EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC located in New York, New York.

Vadim is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Vadim has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 55 and Series 7 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.

LionHunter Capital Management is the pass through company for Mr. Mostovoy's expenses as a 1099 employee of Empire Asset Management Co. (EAMC) and maintains a trading account through EAMC. Effective February 3, 2021 Lionhunter became an SEC RIA, but has yet to commence operations. Mr Mostovoy is currently the CEO of Lionhunter and is not currently receiving any remuneration from the advisor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vadim Mostovoy'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 23, 2021 - Present

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Office #1: 29 Broadway 12th Floor, New York, NY 10006

RIA

CRD#: 7963

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".

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

CRD#: 146097 / SEC#: 801-106958

RIA

Registered Investment Advisory firm - (11/19/2015 Approved)

New Jersey

Registered Investment Advisory firm - (12/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 York
(6/23/2021)

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

Series 63

Date: 8/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/28/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/23/1991

General Securities Representative Examination

Current Firm

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

CRD#: 146097 / SEC#: 801-106958

RIA

Registered Investment Advisory firm - (11/19/2015 Approved)

New Jersey

Registered Investment Advisory firm - (12/16/2015 Terminated)

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Contact information

Main Address

29 Broadway 12th Floor, New York, NY 10006

Mailing Address

Phone number

(212) 417-8247

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

EMPIRE FINANCIAL MANAGEMENT COMPANY (9/25/2025)

Regulatory assets under management

Total Number of Accounts	1,040
AUM (Assets Under Management)	$ 688,400,000

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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Vadim Mostovoy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vadim Mostovoy's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRE ASSET MANAGEMENT COMPANY

EMPIRE ASSET MANAGEMENT COMPANY

BISHOP, ROSEN & CO., INC.

HEARTLAND SECURITIES CORP.

HEARTLAND SECURITIES CORP.

ALEXANDER, WESCOTT, & CO., INC.

ARJENT LTD.

BUCKMAN, BUCKMAN & REID, INC.

HORNBLOWER & WEEKS, INC.

CIBC WORLD MARKETS CORP.

TAMARON INVESTMENTS, INC.

J. W. GANT & ASSOCIATES, INC.

Primary Firm SEC Registration

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/1991

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/28/2002

Series 7

Date: 7/23/1991

Current Firm

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

TRUST BUT VERIFY

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