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Carl Basile

Empire Financial Management Company, LLC
33 Years of Experience
Holmdel, NJ
5 DisclosuresBroker
View SEC Summary
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Carl Basile is a registered investment advisor at Empire Financial Management Company, LLC, based in Holmdel, NJ, with 33 years of industry experience. Carl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 983 clients with $710M in assets under management.

Empire Financial Management Company, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
9 advisors
Number of Clients
983 clients
Average Client Portfolio
$718K average
Assets Under Management
$706.0M

Fee Structure

Minimum Investment:$150K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.75%

Fees are individually negotiated and range between approximately 0.5% and 1.75% based on a sliding scale of assets under management.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

101 Crawfords Corner Road, Suite 3128, Holmdel, NJ, 07733-2151

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2011
Settled
Employment Separation After Allegations
April 2011
Customer Dispute
December 2010
Settled
Customer Dispute
June 2008
Denied
Customer Dispute
November 2006
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Empire Financial Management Company, LLC
March 2021 - Present · 5 yrs 7 mos
Empire Asset Management Company
August 2016 - Present · 10 yrs 2 mos
Empire Asset Management CompanyBroker
August 2016 - Present · 10 yrs 2 mos
Previous Registrations
Bishop, Rosen & CO., INC.Broker
May 2011 - July 2016 · 5 yrs 2 mos
Morgan Stanley Smith BarneyBroker
June 2009 - April 2011 · 1 yr 10 mos
Morgan Stanley & CO. IncorporatedBroker
February 2008 - June 2009 · 1 yr 4 mos
Citigroup Global Markets INC.Broker
September 2001 - March 2008 · 6 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
June 1995 - September 2001 · 6 yrs 3 mos
R a F Financial CorporationBroker
January 1995 - June 1995 · 5 mos
Vtr Capital, INC.Broker
January 1994 - January 1995 · 1 yr
American Express Financial Advisors INC.Broker
June 1993 - December 1993 · 6 mos
Ids Life Insurance CompanyBroker
June 1993 - December 1993 · 6 mos
State Registrations17 states
ALCACOCTDEFLGALAMANCNJNYORPASCTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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