Full text of EMPIRE INVESTMENT INC.'s X-17A-5 filed 2026-03-23 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ The following report is for the public upload. To prepare for EDGAR upload, the PDF should be "flattened". Please review the Internet for how to flatten a PDF document for upload to EDGAR and/or review the information in the Filing Instructions sent via email for Troubleshooting EDGAR uploads. {1}------------------------------------------------ ## UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 sec file number 8-33594 ## ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | |-----------------------------------------------------------------------------------------------------------| |-----------------------------------------------------------------------------------------------------------| | FILING FOR THE PERIOD BEGINNING 01/01/25 | | AND ENDING 12/31/25 | | | |------------------------------------------|----------|---------------------|----------|--| | | MM/DD/YY | | MM/DD/YY | | ## A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Empire Investment, Inc. TYPE OF REGISTRANT (check all applicable boxes): ■ Broker-dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 136-20 38TH Ave., Suite 9E | | (No. and Street) | | | |------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|-----------------|------------------------| | Flushing | NY | | 11354 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Leon-Sun Wu | (718) 445-2313 | | leonwu@empiretrade.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | NTT & Company, PLLC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | 5865 Mistloe Avenue | Beaumont | TX | 77707 | | (Address) | (City) | (State) | (Zip Code) | | 03/19/2019 | | 6543 | | | (Date of Registration with PCAOB)(if applicable)<br>(PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | \* Claims for exemption fr…Read the full text as markdown