# EMPIRE SECURITIES CORPORATION

EMPIRE SECURITIES CORPORATION of UNIVERSAL CITY, CA is an SEC-registered investment adviser.

## Registration

- CRD: 2826
- Type: SEC-registered investment adviser
- SEC file number: 801-68720
- Location: 10 UNIVERSAL CITY PLAZA,, 20TH FLOOR, UNIVERSAL CITY, CA, 91608
- Phone: 818-753-2353
- Latest filing: 2010-04-06
- Regulatory AUM: $35.4M
- Discretionary AUM: $35.4M
- Clients: 1
- Accounts: 157

## Officers, owners & control persons (5)

| 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 | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/2826/brochure
- Similar advisers: https://search.stillhousedata.com/firm/2826/similar
- Related entities: https://search.stillhousedata.com/firm/2826/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/2826

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.