Joseph Rozzi
Investment adviser representative at Empirical Asset Management, LLC
12 yearsExperience
1 stateRegistered in
$560MFirm assets
15 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsPerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
Experience
12 years in the industry.
- Empirical Asset Management, LLCNov 2022 to now
- UnemployedApr 2022 to Oct 2022
- First Republic BankAug 2019 to Mar 2022
- Santander Securities LLCJul 2018 to Jun 2019
- Santander Bank, NAMay 2018 to Jul 2019
- Merrimack CollegeSep 2014 to May 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2018
- Series 65 · Uniform Investment Adviser Law2025
State registrations
Registered as an investment adviser representative in 1 state (MA).
Empirical Asset Management, LLC
$560MAssets managed
474Clients
12Advisers
15 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6969697
- Firm CRD
- 155436