Carl J. Basile

EMPIRE FINANCIAL MANAGEMENT COMPANY

HOLMDEL, NJ 07733-2151

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CRD#: 2353319

Professional summary

Carl John Basile JR, who also goes by Carlo John Basile Jr, Carl John Basile Jr. Jr, is a registered financial advisor currently at EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC located in Holmdel, New Jersey and EMPIRE ASSET MANAGEMENT COMPANY located in Holmdel, New Jersey.

Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Carl has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlo John Basile Jr | Carl John Basile Jr. Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl John Basile JR'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

March 29, 2021 - Present

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Office #1: 101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151

RIA

CRD#: 146097

HOLMDEL, NJ

Current

August 4, 2016 - Present

EMPIRE ASSET MANAGEMENT COMPANY

Office #1: 101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151

CRD#: 143007

HOLMDEL, NJ

Past

May 5, 2011 - July 29, 2016

BISHOP, ROSEN & CO., INC.

CRD#: 1248

NEW YORK, NY

Past

June 1, 2009 - April 28, 2011

MORGAN STANLEY

CRD#: 149777

ALBANY, NY

Past

February 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

ALBANY, NY

Past

September 7, 2001 - March 3, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ALBANY, NY

Past

June 16, 1995 - September 28, 2001

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 20, 1995 - June 19, 1995

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

January 11, 1994 - January 23, 1995

FAIRCHILD FINANCIAL GROUP, INC.

CRD#: 21404

NEW YORK, NY

Past

June 24, 1993 - December 17, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 24, 1993 - December 17, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/27/2020)

California
(8/4/2016)

Colorado
(9/27/2016)

Connecticut
(8/5/2016)

Delaware
(11/20/2018)

Florida
(8/4/2016)

Georgia
(1/21/2022)

Louisiana
(8/4/2016)

Massachusetts
(9/23/2016)

New Jersey
(8/4/2016)

New York
(8/4/2016)

IAR

New York
(3/29/2021)

North Carolina
(8/4/2016)

Oregon
(11/10/2020)

Pennsylvania
(11/23/2020)

South Carolina
(9/7/2016)

Texas
(8/4/2016)

Virginia
(8/4/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/1993

General Securities Representative Examination

SRO Registrations

FINRA

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 (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPIRE FINANCIAL MANAGEMENT COMPANY (2/26/2026)

Regulatory assets under management

Total Number of Accounts	983
AUM (Assets Under Management)	$ 706,000,000

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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Advisor Monitoring

Firm Stability Insights

Carl J. Basile

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl John Basile JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRE ASSET MANAGEMENT COMPANY

BISHOP, ROSEN & CO., INC.

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

A. G. EDWARDS & SONS, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

FAIRCHILD FINANCIAL GROUP, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/7/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/23/1993

FINRA

Current Firm

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Contact information

SEC notice filing (29 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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