Carl Basile
Carl Basile is a registered investment advisor at Empire Financial Management Company, LLC, based in New York, NY, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 983 clients with $710M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Empire Financial Management's fees are individually negotiated and range from 0.5% to 2.5% of the value of your portfolio annually. The fees are calculated based on the market value of the assets at the end of each quarter. Fees are typically charged quarterly in arrears, but for accounts held at RBC, fees can be charged in advance.
Location
29 Broadway, 12th Floor, New York, NY, 10006
Get directionsHistory
Regulatory History (5)
Customer Dispute
December 2011Employment Separation After Allegations
April 2011Customer Dispute
December 2010Customer Dispute
June 2008Customer Dispute
November 2006Employment History
Current Registrations
Empire Financial Management Company, LLC
Empire Asset Management Company
Empire Asset Management CompanyBroker
Previous Registrations
Bishop, Rosen & CO., INC.Broker
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. IncorporatedBroker
Citigroup Global Markets INC.Broker
A. G. Edwards & Sons, INC.Broker
R a F Financial CorporationBroker
Vtr Capital, INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations17 states
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.