Gregg L. Zeoli
Professional summary
Gregg Lance Zeoli 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.
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gregg Lance Zeoli's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2016 - Present
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
Office #1: 101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151June 6, 2007 - Present
EMPIRE ASSET MANAGEMENT COMPANY
Office #1: 101 Crawfords Corner Road, Holmdel, NJ 07733Office #2: 101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151January 8, 2015 - December 7, 2015
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
July 9, 2014 - December 31, 2014
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
August 30, 2006 - May 9, 2007
B. RILEY WEALTH ADVISORS, INC.
September 18, 2002 - May 9, 2007
NATIONAL SECURITIES CORPORATION
October 17, 1996 - October 9, 2002
JOSEPH STEVENS & CO., INC.
October 25, 1995 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
September 19, 1995 - November 22, 1995
TOLUCA PACIFIC SECURITIES CORP.
June 14, 1995 - October 17, 1995
STATE CAPITAL MARKETS CORPORATION
Primary Firm SEC Registration
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
CRD#: 146097 / SEC#: 801-106958
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/30/2007)
(6/12/2007)
(6/6/2007)
(5/9/2019)
(6/14/2007)
(6/21/2007)
(6/26/2007)
(9/19/2012)
(6/13/2007)
(6/18/2007)
(6/14/2007)
(6/11/2007)
(6/11/2007)
(7/16/2007)
(6/7/2007)
(6/7/2007)
(6/19/2007)
(6/9/2007)
(6/11/2007)
(10/29/2020)
(6/12/2007)
(6/12/2007)
(6/14/2007)
(7/13/2007)
(6/6/2007)
(2/28/2021)
(6/7/2007)
(6/14/2007)
(6/8/2007)
(4/23/2019)
(6/12/2007)
(5/9/2019)
(6/7/2007)
(1/2/2020)
(1/2/2018)
(4/27/2023)
(6/18/2007)
(10/17/2016)
(1/16/2019)
(6/7/2007)
(6/6/2007)
(6/7/2007)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
CRD#: 146097 / SEC#: 801-106958
Contact information
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 983 |
| AUM (Assets Under Management) | $ 706,000,000 |
Red Flags
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Company Information
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
CRD#: 146097Holmdel, NJ 07733-2151TRUST BUT VERIFY
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