About Empire Financial

Empire Financial is a FINRA (www.finra.org) registered broker dealer approved to provide a broad range of securities services to investors and institutions in all 50 states.

The company's home office is located in Longwood, FL, and provides support and administrative services to our branch offices, independent registered representatives, and the unaffiliated broker dealers and institutions for whom we process securities transactions.

We utilize the latest technology and trading systems and are able to offer clients real time information including account information, transaction processing and institutional domestic and international trading systems.

Our accounts are custodied and cleared through Penson Financial Services and are insured to $25,000,000, including SIPC.

Penson Financial Services

Penson Financial Services, Inc., headquartered in Dallas, Texas has served the clearing needs of all types of broker/dealers since 1995. Penson provides a full and highly competitive package of conventional broker/dealer clearing and execution services as well as offering leading-edge trading and money management technology. With clearing facilities in the US, Canada, and Europe, Penson compares and settles hundreds of thousands of transactions daily in equities, options, fixed income, and derivatives for more than 200 correspondents worldwide.

Penson Financial Services, Inc. is a member of the Chicago Stock Exchange, the FINRA (www.finra.org), Inc., the Chicago Board Options Exchange, OneChicago, the International Securities Exchange, the ARCA Exchange, the Options Clearing Corp., the MSRB, NSCC, ICMA, DTC, Euroclear, SIPC, the Pacific Exchange and is a participant of the Boston Options Exchange (BOX. Penson Financial Services Canada, Inc. is a participating organization with the Toronto Stock Exchange, the Montreal Exchange, and the TSX Venture Exchange.

As with all investments, the value of the individual holdings in your brokerage account will fluctuate and may become worth more or less than your purchase price. Should a brokerage firm insured by the Securities Investor Protection Corp (SIPC) become financially troubled, SIPC insures the return of the assets to you, but not their market values. SIPC provides protection of up to $500,000, including a maximum of $100,000 for cash balances. There is also private coverage through Lloyds of London for an additional $24,500,000 in securities. SIPC does not guarantee the future value of any security. For full details, see http://www.sipc.org

Legal Notice
Business Continuity Plan
Privacy Statement
SEC Disclosure Rule 605
SEC Disclosure Rule 606
SEC Disclosure Rule 606 – Customer Orders