Gregg Zeoli has been Managing Member/Chief Compliance Officer of Empire Financial Management since December 2007, is a control person of the firm and directly owns under 5% of it.
Empire Financial Management Company, LLC is a Holmdel, NJ firm with $706M under management, 983 clients and 10 advisers in one office, as of its September 2026 filing.
Gregg Zeoli’s longest registration is the current one, 10 years at Empire Financial Management since 2016. Before joining Empire Financial Management in 2016, Gregg Zeoli was registered through National Asset Management, Inc.
- – present · 10 yearsHolmdel, NJ · Adviser representative · Firm CRD 146097
- – · 1 yearNew York, NY · Adviser representative · Firm CRD 146097
- National Asset Management, Inc.– · under a yearNew York, NY · Adviser representative · Firm CRD 115927
Investment adviser representative registrations
Gregg Zeoli is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2016; the most recent is New York, in February 2021.
- New YorkSince 28 February 2021
- TexasResidentSince 17 October 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 27 | Financial and Operations Principal Examination | 27 November 2017 |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 23 March 2012 |
| Series 86 | Research Analyst Exam - Part I Analysis Module | 10 February 2012 |
| Series 53 | Municipal Securities Principal Examination | 26 March 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 5 May 2006 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 14 May 2001 |
| Series 4 | Registered Options Principal Examination | 22 August 2000 |
| Series 24 | General Securities Principal Examination | 19 February 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 September 1995 |
| Series 7 | General Securities Representative Examination | 13 June 1995 |
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Financial and Operations Principal Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Research Analyst Exam - Part I Analysis Module
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Gregg Lance Zeoli
- CRD
- 2620340
- Firm
- Empire Financial Management · CRD 146097
- Role
- Managing Member/Chief Compliance Officer
- Office
- 101 CRAWFORDS CORNER ROAD, SUITE 3128, Holmdel, NJ 07733-2151
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1995
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Gregg Zeoli work?
Gregg Zeoli has been Managing Member/Chief Compliance Officer of Empire Financial Management Company, LLC since December 2007, and is a control person of the firm.
Is Gregg Zeoli a financial advisor?
Yes. Gregg Zeoli has a current investment-adviser registration in New York and Texas, through Empire Financial Management since October 2016.
How many years of experience does Gregg Zeoli have?
Gregg Zeoli has 31 years in the financial industry, since July 1995, across 2 adviser firms.
What exams has Gregg Zeoli passed?
Gregg Zeoli has passed 15 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 10, Series 65, Series 53, Series 86, Series 87, Series 27, Series 9, Series 14, Series 99TO, Series 79TO and Series 52TO. The earliest, the Series 7, was passed in June 1995. FINRA credited Gregg Zeoli with the SIE, which began in October 2018.
Where did Gregg Zeoli work before Empire Financial Management?
Before Empire Financial Management, Gregg Zeoli was registered through National Asset Management, Inc., August 2006 to May 2007.
Where is Gregg Zeoli based?
Gregg Zeoli’s registered office is in Holmdel, NJ.
Is Gregg Zeoli registered with FINRA?
Yes. Gregg Zeoli has a current broker registration, under CRD 2620340.
Source: FINRA BrokerCheck
How can I verify Gregg Zeoli’s record?
Search CRD 2620340 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Gregg Zeoli’s full registration record.