Unclaimed Profile

Mark Henry Fiskio

EMPIRICAL ASSET MANAGEMENT, LLC·WELLESLEY, Massachusetts

SIE, Series 3, Series 7, Series 8, Series 63, Series 6519 years registeredEMPIRICAL ASSET MANAGEMENT, LLC

57 RIVER STREET, WELLESLEY, MA 02481CRD# 1197038Firm CRD# 155436

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Henry Fiskio · WELLESLEY, MA

Registration

CRD #1197038 · EMPIRICAL ASSET MANAGEMENT, LLC · 19 years registered

Brand Profile

Not yet started

Career History

EMPIRICAL ASSET MANAGEMENT, LLC

Jun 2012 – present

M3 ADVISORY GROUP, LLC

Oct 2012 – Nov 2013

NEWTON, MA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 2006 – Oct 2010

NEWTON, MA

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 63

Series 65

Registration record

First registered · September 22, 2006

Years registered · 19

Disclosure History

1997Customer Dispute·Settled

1991Customer Dispute·Award / Judgment

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

EMPIRICAL ASSET MANAGEMENT, LLC

CRD 155436 · SEC 801-71967

AUM

$329M

Regulatory assets under management

Employees

1,058 client accounts

Services offered by EMPIRICAL ASSET MANAGEMENT, LLC

Per Form ADV

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

View all advisors at EMPIRICAL ASSET MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Mark Henry Fiskio offer?

Mark Henry Fiskio specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in WELLESLEY, Massachusetts for a consultation.

What are Mark Henry Fiskio's credentials?

Mark Henry Fiskio is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mark Henry Fiskio located?

Mark Henry Fiskio is based in WELLESLEY, Massachusetts, working with EMPIRICAL ASSET MANAGEMENT, LLC. Their office serves clients in the WELLESLEY metropolitan area and surrounding communities.

How does Mark Henry Fiskio charge for services?

Mark Henry Fiskio's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is EMPIRICAL ASSET MANAGEMENT, LLC?

EMPIRICAL ASSET MANAGEMENT, LLC has approximately 12 employees and manages $329M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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