CV
Christopher Vining
EMPIRE FINANCIAL MANAGEMENT COMPANY
New York, NY 10006
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CRD#: 6350413
CV
Professional summary
Christopher Vining 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.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Christopher has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 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.
JAN 2021; NASSAU SPORTSMAN CLUB, NASSAU, NY; NON INVESTMENT RELATED; PRESERVATION OF FOREST AND STREAMS, SPORTSMAN EDUCATION, GENERAL WELFARE OF THE COMMUNITIES OF MEMBERS AND PARTICIPATION/SPONSORSHIP OF LOCAL CHARITABLE CAUSES; SECRETARY; RECORDING MEETING MINUTES, CLUB MEMBERSHIP UPDATE, SENDING CLUB CORRESPONDENCE TO MEMBERS; DEVOTE LESS THAN 1 HR PER WEEK DURING NON MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Vining'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
March 29, 2021 - Present
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
Office #1: 29 Broadway 12th Floor, New York, NY 10006RIA
CRD#: 146097
New York, NY
Current
May 3, 2016 - Present
EMPIRE ASSET MANAGEMENT COMPANY
Office #1: 29 Broadway 12th Floor, New York, NY 10006BD
CRD#: 143007
New York, NY
Past
July 17, 2014 - May 3, 2016
BISHOP, ROSEN & CO., INC.
BD
CRD#: 1248
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(5/27/2020)
RR
California(5/3/2016)
RR
Colorado(8/9/2016)
RR
Connecticut(8/9/2016)
RR
Delaware(11/13/2018)
RR
Florida(8/9/2016)
RR
Georgia(1/20/2022)
RR
Illinois(12/15/2021)
RR
Louisiana(8/9/2016)
RR
Maryland(12/15/2021)
RR
Massachusetts(5/3/2016)
RR
Michigan(12/15/2021)
RR
New Jersey(5/3/2016)
RR
New York(5/3/2016)
IAR
New York(3/29/2021)
RR
North Carolina(8/9/2016)
RR
Oregon(11/6/2020)
RR
Pennsylvania(11/19/2020)
RR
South Carolina(8/9/2016)
RR
Texas(8/9/2016)
RR
Virginia(8/9/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
