Daniel C. Gordon

EMPIRE ASSET MANAGEMENT COMPANY

New York, NY 10006

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CRD#: 2888264

Professional summary

Daniel Charles Gordon is a registered financial professional currently at EMPIRE ASSET MANAGEMENT COMPANY located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1998. Daniel has worked at 10 firms and has passed the Series 66, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Charles Gordon'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 19, 2018 - Present

EMPIRE ASSET MANAGEMENT COMPANY

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

CRD#: 143007

New York, NY

Past

April 6, 2016 - March 20, 2018

VANDHAM SECURITIES CORP.

CRD#: 26258

Huntington, NY

Past

May 15, 2013 - April 4, 2016

LPS CAPITAL LLC

CRD#: 155246

NEW YORK, NY

Past

September 21, 2010 - May 6, 2013

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

NEW YORK, NY

Past

December 1, 2008 - September 1, 2010

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

March 28, 2005 - November 19, 2008

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

May 19, 2000 - February 15, 2006

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

July 26, 1999 - June 6, 2000

TRADE.COM ONLINE SECURITIES, INC.

CRD#: 36189

NEW YORK, NY

Past

June 22, 1999 - July 14, 1999

TRADE.COM ONLINE SECURITIES, INC.

CRD#: 36189

Past

November 11, 1998 - July 13, 1999

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

July 29, 1998 - December 31, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/28/2018)

Connecticut
(6/27/2018)

Florida
(4/16/2018)

Nevada
(8/18/2020)

New Jersey
(3/19/2018)

New York
(3/19/2018)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/16/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/7/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/30/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EMPIRE ASSET MANAGEMENT COMPANY

CRD#: 143007 / SEC#: , 8-67520

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

29 Broadway 12th Floor, New York, NY 10006

Mailing Address

29 Broadway 12th Floor, New York, NY 10006

Phone number

(212) 417-8239

Established

New York since 11/02/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EMPIRE INVESTMENT GROUP HOLDINGS, LLC	MEMBER-MANAGER
BANJANY, LAUREN MARIE	CHIEF OPERATIONS OFFICER	4899767
EMPIRE ASSET MANAGEMENT OF NY, LTD.	MANAGER
ZEOLI, GREGG LANCE	CEO/CCO/PRESIDENT/SHAREHOLDER/CROP/SROP/FINOP	2620340

Disclosures

Arbitration

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

Daniel C. Gordon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Charles Gordon's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANDHAM SECURITIES CORP.

LPS CAPITAL LLC

RAFFERTY CAPITAL MARKETS, LLC

W.A. CAPITAL MARKETS

UBS SECURITIES LLC

UBS CAPITAL MARKETS L.P.

TRADE.COM ONLINE SECURITIES, INC.

TRADE.COM ONLINE SECURITIES, INC.

QUICK & REILLY, INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/1998

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/7/2000

Series 7

Date: 6/30/1998

FINRA

Current Firm

EMPIRE ASSET MANAGEMENT COMPANY

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EMPIRE ASSET MANAGEMENT COMPANY

TRUST BUT VERIFY

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