CRD #143007 · FINRA BrokerCheck + SEC IAPD

Empire Asset Management Company

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Empire Asset Management Company ranks #3,817 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #50 of 114 on the same disclosure sort used on the state browse page. Empire Asset Management Company carries 1 BrokerCheck disclosure across 2 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
1
disclosure
#3,817 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 143007 Empire Asset Management Company

Empire Asset Management Company · Grade B · 1 disc · 0.50/office · Small firm

  • CRD 143007
  • GRADE B
  • DISC 1
  • REG 0
  • ARB 1
  • CIV 0
  • BRANCH 2
  • PER-OFF 0.50
  • RANK #3,817 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: 1964 Global (0.50 disc/office)

1964 Global0.50ABG Sundal Collier Inc.0.50ABN Amro Securities (US…0.50Empire Asset Manage… (this)0.50
Disclosures per office among small firm peers (lower is cleaner)

Empire Asset Management Company ranks #3,817 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

2 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

0 actions

0% of all disclosures

Disclosures per office

0.50 per office

1 ÷ 2 offices

Empire Asset Management Company vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 0
Arbitrations 1
Civil Events 0
Total 1

Counts for Empire Asset Management Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 0 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Holmdel, NJ
CRD Number
143007

Customer-facing mix

Empire Asset Management Company in the heavier-disclosure third

Empire Asset Management Company carries 1 BrokerCheck disclosure across 2 branch offices - a heavier-third raw book among graded firms (#3,817 of 20,055). Customer-facing events dominate: 1 arbitration and 0 civil versus 0 regulatory (0% regulator share).

Only 0% of Empire Asset Management Company's disclosures are regulator-initiated; arbitrations (1) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Empire Asset Management Company's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 0.08× state average

Empire Asset Management Company sits below the New Jersey disclosure average

Empire Asset Management Company reports 1 BrokerCheck disclosure, 0.08× the New Jersey average of 12.9, lighter than most of the 114 graded firms filed there.

In New Jersey, 50 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Empire Asset Management Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Empire Asset Management Company ranks #3,817 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #50 of 114 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Empire Asset Management Company?
A grade of B reflects Empire Asset Management Company's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Empire Asset Management Company have?
Empire Asset Management Company has 1 total FINRA disclosure, including 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Empire Asset Management Company?
Empire Asset Management Company operates 2 branch offices and is classified by FINRA as a small firm, registered in NJ (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Empire Asset Management Company's disciplinary record?
You can verify Empire Asset Management Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 143007. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Empire Asset Management Company because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Empire Asset Management Company carries 1 disclosure across 2 branch offices (about 0.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1964 Global (NY) - 0.50 disclosures/office, nearest small firm peer to Empire Asset Management Company's 0.50
  • ABG Sundal Collier Inc. (NY) - 0.50 disclosures/office, nearest small firm peer to Empire Asset Management Company's 0.50
  • ABN Amro Securities (USA) LLC (NJ) - 0.50 disclosures/office, nearest small firm peer to Empire Asset Management Company's 0.50
  • Firms in NJ - state roster that includes Empire Asset Management Company's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Empire Asset Management Company.
  • Reading BrokerCheck Reports - How Empire Asset Management Company's 0.50 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Empire Asset Management Company.
  • Compare firms - put Empire Asset Management Company next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.