GZ
Gregg L. Zeoli
EMPIRE FINANCIAL MANAGEMENT COMPANY
New York, NY 10006
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CRD#: 2620340
GZ
Professional summary
Gregg Lance Zeoli is a registered financial advisor currently at EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC located in New York, New York and EMPIRE ASSET MANAGEMENT COMPANY located in New York, New York.
Gregg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Gregg has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 87, Series 86, Series 7, Series 9, Series 14, Series 27, Series 53, Series 10, Series 4 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.
I AM AN OFFICER/PRESIDENT OF 1)EMPIRE ASSET MANAGEMENT of NY LTD (JUNE 2001).IS A MEMBER MANAGER OF EMPIRE INVESTMENT GROUP HOLDINGS, EMPIRE ASSET MANAGEMENT AND INVESTMENT GROUP HOLDINGS ARE MEMBER MANAGERS OF THE BROKER-DEALER,I AM THE PRESIDENT OF EMPIRE FINANCIAL MANAGEMENT CO. 29 Broadway 12th floor NY, NY 10006 EMPIRE FINANCIAL MANAGEMENT IS AN AFFILATED RIA WITH EMPIRE ASSET MANAGEMENT. COMMENCING 8/5/13, OWNER OF EMPIRE ASSET MANAGEMENT INSURANCE AGENCY LLC, 29 Broadway 12th floor NY, NY 10006 INSURANCE AGENCY, NO DIRECT COMPENSATION, DEVOTE 1 HOUR PER WEEK DURING BUSINESS HOURS. I am on the Board of Directors of Bidtellect 777 E. Atlantic Avenue, Delray Beach, Florida Commencing December 7th 2018. I receive no Compensation I devote approximately 10 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Gregg Lance Zeoli's 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®
NoneExperience
Current
October 17, 2016 - Present
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
Office #1: 29 Broadway 12th Floor, New York, NY 10006RIA
CRD#: 146097
New York, NY
Current
June 6, 2007 - Present
EMPIRE ASSET MANAGEMENT COMPANY
Office #1: 29 Broadway 12 Floor, New York, NY 10006Office #2: 29 Broadway 12th Floor, New York, NY 10006BD
CRD#: 143007
New York, NY
Past
January 8, 2015 - December 7, 2015
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
RIA
CRD#: 146097
NEW YORK, NY
Past
July 9, 2014 - December 31, 2014
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
RIA
CRD#: 146097
NEW YORK, NY
Past
August 30, 2006 - May 9, 2007
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
NEW YORK, NY
Past
September 18, 2002 - May 9, 2007
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
October 17, 1996 - October 9, 2002
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, NY
Past
October 25, 1995 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
BD
CRD#: 13685
NEW YORK, NY
Past
September 19, 1995 - November 22, 1995
TOLUCA PACIFIC SECURITIES CORP.
BD
CRD#: 13875
BURBANK, CA
Past
June 14, 1995 - October 17, 1995
STATE CAPITAL MARKETS CORPORATION
BD
CRD#: 13685
NEW YORK, NY
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".
EF
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
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)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.RR
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
RR
Alabama(11/30/2007)
RR
Arkansas(6/12/2007)
RR
California(6/6/2007)
RR
Colorado(5/9/2019)
RR
Connecticut(6/14/2007)
RR
Delaware(6/21/2007)
RR
District of Columbia(6/26/2007)
RR
Florida(9/19/2012)
RR
Georgia(6/13/2007)
RR
Hawaii(6/18/2007)
RR
Illinois(6/14/2007)
RR
Indiana(6/11/2007)
RR
Kentucky(6/11/2007)
RR
Maine(7/16/2007)
RR
Maryland(6/7/2007)
RR
Massachusetts(6/7/2007)
RR
Michigan(6/19/2007)
RR
Minnesota(6/9/2007)
RR
Missouri(6/11/2007)
RR
Nebraska(10/29/2020)
RR
Nevada(6/12/2007)
RR
New Hampshire(6/12/2007)
RR
New Jersey(6/14/2007)
RR
New Mexico(7/13/2007)
RR
New York(6/6/2007)
IAR
New York(2/28/2021)
RR
North Carolina(6/7/2007)
RR
Ohio(6/14/2007)
RR
Oklahoma(6/8/2007)
RR
Oregon(4/23/2019)
RR
Pennsylvania(6/12/2007)
RR
Puerto Rico(5/9/2019)
RR
Rhode Island(6/7/2007)
RR
South Carolina(1/2/2020)
RR
South Dakota(1/2/2018)
RR
Tennessee(4/27/2023)
RR
Texas(6/18/2007)
IAR
Texas(10/17/2016)
RR
Vermont(1/16/2019)
RR
Virginia(6/7/2007)
RR
Washington(6/6/2007)
RR
Wisconsin(6/7/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EF
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
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)Upgrade to AdvisorCheck Premium
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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
12
SEC notice filing (18 States and Territories)
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.
