AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NM

Nick Monaco

EMPIRE ASSET MANAGEMENT COMPANY
HOLMDEL, NJ 07733-2151
CRD#: 4350861
Some features on this profile are disabled
NM
Nick MonacoEMPIRE ASSET MANAGEMENT COMPANY

Professional summary

Nick Monaco is a registered financial professional currently at EMPIRE ASSET MANAGEMENT COMPANY located in Holmdel, New Jersey.

Nick is registered as a RR (Registered Representative) and started their career in finance in 2002. Nick has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

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) - BD

Click below to view Nick Monaco'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

April 11, 2024 - Present

EMPIRE ASSET MANAGEMENT COMPANY

Office #1: 101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151
BD
CRD#: 143007
HOLMDEL, NJ
Past

June 21, 2016 - April 11, 2024

OUTSET GLOBAL TRADING LIMITED

BD
CRD#: 281065
Los Angeles, CA
Past

December 17, 2012 - June 17, 2016

SMITH CAPITAL MARKETS, LLC.

BD
CRD#: 121430
Santa Monica, CA
Past

January 18, 2011 - January 11, 2013

TOURMALINE PARTNERS, LLC

BD
CRD#: 154492
BEVERLY HILLS, CA
Past

January 15, 2010 - January 28, 2011

SMITH CAPITAL MARKETS, LLC.

BD
CRD#: 121430
STAMFORD, CT
Past

April 3, 2008 - January 5, 2010

WILLIAMS TRADING LLC

BD
CRD#: 43678
WESTPORT, CT
Past

October 23, 2002 - March 18, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

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
New York
(4/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/15/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/22/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/4/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

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)
Loading...

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

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#: 143007Holmdel, NJ 07733-2151

TRUST BUT VERIFY

Monitor Nick Monaco

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

SS
Stephen StewartAdvisorCheck Check Mark
CHELSEA ADVISORY SERVICES, INC
IAR
RR
South Ozone Park, NY
FR
Fernando RiveraAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
East Brunswick, NJ
JB
Jonathan BruschiAdvisorCheck Check Mark
RBC CAPITAL MARKETS, LLC
IAR
RR
MORRISTOWN, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.