Unclaimed Profile

Joseph Stephen Oricoli

FIRST EMPIRE ASSET MANAGEMENT, INC·HAUPPAUGE, New York

SIE, Series 1, Series 3, Series 5, Series 7, Series 24, Series 40, Series 52TO, Series 53, Series 63, Series 6617 years registeredFIRST EMPIRE ASSET MANAGEMENT, INC

100 MOTOR PARKWAY, HAUPPAUGE, NY 11788CRD# 353300Firm CRD# 134411

Profile Verification

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

Identity

Joseph Stephen Oricoli · HAUPPAUGE, NY

Registration

CRD #353300 · FIRST EMPIRE ASSET MANAGEMENT, INC · 17 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FIRST EMPIRE ASSET MANAGEMENT, INC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Mar 2019 – Jul 2020

HAUPPAUGE, NY

FIRST EMPIRE ASSET MANAGEMENT, INC

Oct 2008 – Jan 2019

HAUPPAUGE, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 3

Series 5

Series 7

Series 24

Series 40

Series 52TO

Series 53

Series 63

Series 66

Registration record

First registered · October 31, 2008

Years registered · 17

Disclosure History

2025Financial·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

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

Firm Overview

Firm

FIRST EMPIRE ASSET MANAGEMENT, INC

CRD 134411 · SEC 801-69470

AUM

$2.2B

Regulatory assets under management

Employees

1 client accounts

Services offered by FIRST EMPIRE ASSET MANAGEMENT, INC

Per Form ADV

Selection of other advisers

View all advisors at FIRST EMPIRE ASSET MANAGEMENT, INC →

Introduction

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Frequently Asked Questions

What services does Joseph Stephen Oricoli offer?

Joseph Stephen Oricoli specializes in Wealth Management.

What are Joseph Stephen Oricoli's credentials?

Joseph Stephen Oricoli is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Joseph Stephen Oricoli located?

Joseph Stephen Oricoli is based in HAUPPAUGE, New York, last registered with FIRST EMPIRE ASSET MANAGEMENT, INC.

How does Joseph Stephen Oricoli charge for services?

Joseph Stephen Oricoli's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FIRST EMPIRE ASSET MANAGEMENT, INC?

FIRST EMPIRE ASSET MANAGEMENT, INC has approximately 26 employees and manages $2.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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