EMPIRE SECURITIES CORPORATION of UNIVERSAL CITY, CA is an SEC-registered investment adviser (CRD 2826). Regulatory assets under management: $35.4M.
| Name | Role | Location |
|---|---|---|
| NING MICHAEL CHENG | OWNER; PRINCIPAL, CHAIRMAN & CEO, DIRECTOR; PRINCIPAL, CHAIRMAN & CEO, DIRECTOR, PRESIDENT, CFO | — |
| KUWABARA AUDREY MARI | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY, CTO, VP RISK MANAGEMENT; CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY, CTO, VP RISK MANAGEMENT, AML-CO | — |
| RODRIGUEZ PHILLIP JOHN | PRESIDENT, CEO, DIR, MSRB PRINCIPAL, STOCKHOLDER | — |
| BENNETT JAMIE S | AML-CO, CFO, DIRECTOR, PRESIDENT; CHAIRMAN OF THE BOARD, SECRETARY, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, CFO, DIRECTOR, STOCKHOLDER | — |
| HOUGH TODD DONALD | COMPLIANCE DIRECTOR | — |