Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

KEVIN M. GLODEK
2419411
EMPIRE ASSET MANAGEMENT COMPANY
143007
NONE
NONE
EMPIRE ASSET MANAGEMENT COMPANY
143007
KEVIN GLODEK
2419411
EMPIRE ASSET MANAGEMENT
143007
NONE
NONE
EMPIRE ASSET MANAGEMENT COMPANY
143007
EMPIRE ASSET MANAGEMENT COMPANY
143007
MORE THAN 5
NONE
EMPIRE ASSET MANAGEMENT COMPANY
143007
MORE THAN 5
NONE
NONE
NONE
EMPIRE ASSET MANAGEMENT COMPANY
143007
NONE
NONE
EMPIRE ASSET MANAGEMENT COMPANY
143007
NONE
NONE
EMPIRE ASSET MANAGEMENT COMPANY
143007
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-02
D/A
$0.00
Yes
$0.00
Yes
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
2026-06-02
D/A
$0.00
Yes
$0.00
Yes
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
2026-02-03
D/A
$0.00
No
$0.00
No
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
2025-11-06
D/A
$0.00
No
$0.00
No
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
2025-09-15
D/A
$0.00
Yes
$0.00
No
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
2025-09-10
D/A
$0.00
No
$0.00
No
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
2024-08-01
D/A
$0.00
No
$0.00
No
2024-08-01
D/A
$0.00
No
$0.00
No
2024-08-01
D/A
$0.00
No
$0.00
No
2024-08-01
D/A
$436,875.00
No
$0.00
No
2024-08-01
D/A
$0.00
No
$0.00
No
2023-05-22
D/A
$0.00
No
$0.00
No
2023-05-22
D/A
$436,875.00
No
$0.00
No
2023-05-22
D/A
$0.00
No
$0.00
No
2023-05-22
D/A
$0.00
No
$0.00
No
2023-05-22
D/A
$0.00
No
$0.00
No
2023-05-22
D/A
$0.00
No
$0.00
No
2023-05-22
D/A
$0.00
No
$0.00
No
2022-03-04
D/A
$0.00
No
$0.00
No
2022-03-04
D/A
$0.00
No
$0.00
No
2022-03-04
D/A
$0.00
No
$0.00
No
2022-03-04
D/A
$0.00
No
$0.00
No
2022-03-04
D/A
$0.00
No
$0.00
No
2022-03-04
D/A
$436,875.00
No
$0.00
No
2022-03-04
D/A
$0.00
No
$0.00
No
2021-11-09
D/A
$416,906.00
No
$0.00
No
2021-11-09
D/A
$2,402,815.00
No
$0.00
No
2020-11-10
D/A
$416,906.00
No
$0.00
No
2020-11-10
D/A
$2,402,815.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$436,875.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$0.00
No
$0.00
No
2020-10-23
D/A
$4,260.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$2,393,215.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$436,875.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$0.00
No
$0.00
No
2019-10-17
D/A
$416,906.00
No
$0.00
No
2019-10-17
D/A
$4,260.00
No
$0.00
No
2014-10-21
D/A
$360,000.00
No
$0.00
No
2009-12-02
D
$3,600.00
No
$0.00
No
2009-11-02
D
$18,500.00
No
$0.00
No
2009-08-28
D
$20,000.00
No
$0.00
No
2009-06-23
D
$18,000.00
No
$0.00
No
2009-04-03
D
$155,000.00
No
$0.00
No