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Paul A. Bustamante

Some features on this profile are disabled
CRD#: 4175542
PB

Professional summary

Paul Anthony Bustamante was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Paul had worked at 3 firms, which includes EMPIRE ASSET MANAGEMENT COMPANY, BISHOP ROSEN & CO. INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 20, 2016 - December 21, 2017

EMPIRE ASSET MANAGEMENT COMPANY

BD
CRD#: 143007
NEW YORK, NY
Past

July 31, 2006 - July 20, 2016

BISHOP, ROSEN & CO., INC.

BD
CRD#: 1248
NEW YORK, NY
Past

June 6, 2000 - August 15, 2006

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/5/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EA
EMPIRE ASSET MANAGEMENT COMPANY
EMPIRE ASSET MANAGEMENT COMPANY

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EMPIRE INVESTMENT GROUP HOLDINGS, LLCMEMBER-MANAGER
BANJANY, LAUREN MARIECHIEF OPERATIONS OFFICER4899767
EMPIRE ASSET MANAGEMENT OF NY, LTD.MANAGER
ZEOLI, GREGG LANCECEO/CCO/PRESIDENT/SHAREHOLDER/CROP/SROP/FINOP2620340

Disclosures

Arbitration1

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.

Company Information

EMPIRE ASSET MANAGEMENT COMPANY

CRD#: 143007

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