Joseph Rozzi
Investment Adviser Representative at Empirical Asset Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Joseph Rozzi is an investment adviser representative with Empirical Asset Management, LLC in Needham, MA, where they have been registered since 2025. They have worked in the securities industry since 2024 and were previously registered with Santander Securities LLC. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Massachusetts.
Registrations & licenses
- Investment adviser:
- Massachusetts
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Santander Bank, NAMay 2018 – Jul 2019Boston, MA
- Santander Securities LLCJul 2018 – Jun 2019Chestnut Hill, MA
- Merrimack CollegeSep 2014 – May 2018Norht Andover, MA
- Empirical Asset Management, LLCNov 2022 – no end date reportedNeedham, MA
- First Republic BankAug 2019 – Mar 2022Boston, MA
- UnemployedApr 2022 – Oct 2022N/a, XX
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Empirical Asset Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Performance-based fees
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
The firm offers investment management (including stocks, bonds, IRAs, annuities, and brokerage accounts), financial planning (retirement, tax, 401(k), 403(b), college, estate, and profit sharing plans), and insurance (disability income, life, and long-term-care insurance). It also provides rules-based and AI-informed investment strategies and sustainable investing.
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 11
- Offices listed on AdvisorFinder:
- 3
- Main office:
- Wellesley, MA
- SEC file number:
- 801-71967
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 7, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph Rozzi 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.
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