Empire Financial GroupAbout Empire Financial
  • Stocks
  • Options
  • Mutual Funds
  • Corporate and Municipal Bonds
  • U.S. Treasury securities
  • IRA's and qualified retirement plans
  • Unit investment trusts
  • Zero coupon bonds
  • Certificates of deposit
  • Cash management account with free check writing privileges with debit card
  • Preferred Stock
  • Fixed annuities
  • Variable annuities
  • Money market funds
  • Insurance Products
  • Direct Participation Programs (such as Oil & Gas and Real Estate)
  • Debt Offerings
  • IPO

Registered Investment Advisor

  • An RIA engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities.

  • Registered Investment Advisors are independent contractors - self employed or employees of their own firms. In many states they are required to be registered and to hold a Series 65 license or have a combination of Series 7 and 66.

Independent Registered Representatives (Brokers)

  • Compensation: Commission Based (Transaction) are independent contractors - self employed or employees of their own firms.

  • Their licenses, Series 7, 24, 4 and any other , are held at Empire Financial

  • Independent Brokers also have the opportunity to build equity in their own business and may also establish himself as an Registered Investment Advisor.

  • Acting as Brokers and Investment Advisors they may charge fees on assets managed as well as commissions on transactions executed

  • Independent Registered Representatives have ongoing support from Empire Financial Group's staff to help them with all aspects of servicing their clients and managing and growing their practice.

Empire Financial Registration and Compliance(Brokers)

If you're interested in becoming a member of Empire Financial Group's experienced team of Investment professionals, please contact us at 407-774-1300 or joinus@empirenow.com.

If you are a retail investor seeking account information or other help in connection with your brokerage account, please contact your investment professional or introducing financial organization for assistance. You may find the contact information for your investment professional or introducing financial organization on your monthly statement. This website is targeted towards financial institutions and does not contain account information or transactional services