Clearing Relationship

Empire has entered into an agreement for clearance services on a fully disclosed basis with RBC Correspondent Services, a division of RBC Capital Markets, LLC, an industry leader in providing clearing, custody, operations, financing, technology and order execution capabilities to broker-dealers worldwide for more than 30 years.   RBC Correspondent Services, a division of RBC Capital Markets, LLC value is in its unique history, fortress balance sheet, strong leadership positions, attention to risk management, global market and product reach and international settlement capabilities in over 75 countries.  Empire is able to offer its clients the quality products and services they demand while remaining focused on service. 

RBC Correspondent Services, a division of RBC Capital Markets, LLC, is a separately capitalized, guaranteed broker-dealer established for the express purpose of holding and financing customer accounts and clearing and settling transactions.  In compliance with SEC rules and regulations for the protection of customers, RBC Correspondent Services, a division of RBC Capital Markets, LLC, maintains all customers’ Fully Paid and Excess Margin securities as required in a location that has controls required by the SEC to protect such securities from claims of third parties in conformity with SEC Rules.  As such, customer funds and Qualified Securities are not available for proprietary use.  RBC Correspondent Services, a division of RBC Capital Markets, LLC, does not make proprietary investments or engage in market making activities.

Brokerage

Brokerage

Plan, track, and execute securities transactions in markets around the world, using a broad array of equity and debt instruments.

Asset Management

Asset Management

Every investment plan is customized based on a thorough assessment of each client’s unique goals, needs and appetite for risk while remaining cognizant of the changing market environment.

Investment Banking

Investment Banking

Reach a wider spectrum of investors through our experience in corporate financing, with particular strength in the medical and biotech industries.