EMPIRE SECURITIES CORPORATION
CRD #2826 SEC #801-68720 EL SEGUNDO, CA 310-640-8902
SEC Registered Broker-Dealer
Total AUM
$36M
Discretionary
$36M
Employees
5
Clients
--
Accounts
113
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- MARCH
- Registration Date
- --
- Latest Filing
- Oct 9, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BENNETT, JAMIE S | I | AML-CO, CFO, DIRECTOR, PRESIDENT | NA | Control |
| HOUGH, TODD DONALD | I | COMPLIANCE DIRECTOR | NA | |
| KUWABARA, AUDREY MARI | I | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY, CTO, VP RISK MANAGEMENT | NA | Control |
| KUWABARA, AUDREY MARI | I | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY, CTO, VP RISK MANAGEMENT, AML-CO | NA | Control |
| NING, MICHAEL CHENG | I | PRINCIPAL, CHAIRMAN & CEO, DIRECTOR | NA | Control |
| NING, MICHAEL CHENG | I | PRINCIPAL, CHAIRMAN & CEO, DIRECTOR, PRESIDENT, CFO | NA | Control |
| ARQUE ORION HOLDINGS, LLC | DE | OWNER | E | |
| ARQUE ORION HOLDINGS, LLC | DE | OWNER | E | |
| BENNETT, JAMIE S | I | CHAIRMAN OF THE BOARD, SECRETARY, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, CFO, DIRECTOR, STOCKHOLDER | D | Control |
| RODRIGUEZ, PHILLIP JOHN | I | PRESIDENT, CEO, DIR, MSRB PRINCIPAL, STOCKHOLDER | D | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ARQUEMAX VENTURES, LLC | DE | ARQUE ORION HOLDINGS, LLC | E | |
| ARQUEMAX VENTURES, LLC | DE | ARQUE ORION HOLDINGS, LLC | E | |
| NING, MICHAEL CHENG | I | ARQUEMAX VENTURES, LLC | E | Control |
| NING, MICHAEL CHENG | I | ARQUEMAX VENTURES, LLC | E | Control |
Registrations
Federal
IA
Oct 9, 2009 REGISTERED
Notice Filings (7)
CA HI KS MN NM NV TX
Address
1960 E GRAND AVE.SUITE 555
EL SEGUNDO, CA 90245
United States
Phone: 310-640-8902