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Carl John Basile

Investment Adviser Representative at EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Holmdel, NJCRD #2353319Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
17 states
Exams Passed
3

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Carl John Basile has worked in the securities industry since 1993. They are registered to provide investment advisory services in 17 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 17 states
AlabamaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaLouisianaMassachusettsNew JerseyNew YorkNorth CarolinaOregonPennsylvaniaSouth CarolinaTexasVirginia
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 7/7/1993
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/23/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Empire Financial Management Company, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLCCurrent
3/29/2021Holmdel, NJ
EMPIRE ASSET MANAGEMENT COMPANYCurrent
8/4/2016Valatie, NY
BISHOP, ROSEN & CO., INC.
5/5/20117/29/2016New York, NY
MORGAN STANLEY SMITH BARNEY
6/1/20094/28/2011Albany, NY
MORGAN STANLEY & CO. INCORPORATED
2/15/20086/1/2009Albany, NY
CITIGROUP GLOBAL MARKETS INC.
9/7/20013/3/2008Albany, NY
A. G. EDWARDS & SONS, INC.
6/16/19959/28/2001St. Louis, MO
R A F FINANCIAL CORPORATION
1/20/19956/19/1995Denver, CO
VTR CAPITAL, INC.
1/11/19941/23/1995New York, NY
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
6/24/199312/17/1993Minneapolis, MN
IDS LIFE INSURANCE COMPANY
6/24/199312/17/1993Minneapolis, MN

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

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View EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Carl John Basile has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Carl John Basile - Financial Advisor in Holmdel, NJ | AdvisorFinder