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CS

Corey V. Smith

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CRD#: 2684840
CS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Corey Vail Smith was a registered financial professional .

Corey is a previously registered financial professional and started their career in finance in 1996. Corey had worked at 8 firms and has passed the Series 63, Series 7, Series 22, Series 55 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 15, 2011 - September 26, 2013

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

March 10, 2008 - October 20, 2008

WELTON STREET INVESTMENTS LLC

BD
CRD#: 132111
ENGLEWOOD, CO
Past

February 3, 2003 - July 13, 2004

PENSON FINANCIAL SERVICES, INC.

BD
CRD#: 25866
DALLAS, TX
Past

April 23, 2002 - February 3, 2003

SERVICE ASSET MANAGEMENT COMPANY

BD
CRD#: 47157
AUSTIN, TX
Past

May 25, 2001 - March 7, 2002

HUBERMAN FINANCIAL INC.

BD
CRD#: 28760
DALLAS, TX
Past

November 2, 1999 - May 29, 2001

COASTAL SECURITIES, INC.

BD
CRD#: 27834
HOUSTON, TX
Past

September 25, 1998 - October 28, 1999

HERITAGE INVESTMENTS, L.L.C.

BD
CRD#: 37692
DALLAS, TX
Past

September 24, 1998 - October 28, 1999

HERITAGE SECURITIES CORPORATION

BD
CRD#: 30211
ADDISON, TX
Past

February 8, 1996 - August 29, 1997

HERITAGE SECURITIES CORPORATION

BD
CRD#: 30211
ADDISON, TX
Past

February 8, 1996 - August 29, 1997

HERITAGE INVESTMENTS, L.L.C.

BD
CRD#: 37692
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 3/8/2008
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 11/13/1999
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/2012
General Securities Principal Examination

Current Firm

CS
CION SECURITIES, LLC
CION INVESTMENTS | OSPREY SECURITIES CORP. | ICON SECURITIES, LLC | ICON SECURITIES CORP. | ICON SECURITIES CORP | ICON INVESTMENTS | ICG SECURITIES CORP. | CION SECURITIES, LLC

CRD#: 15487 / SEC#: , 8-32283

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Park Avenue 25th Floor, New York, NY 10017
Mailing Address
100 Park Avenue 25th Floor, New York, NY 10017
Phone number
(212) 418-4700
Established
Delaware since 01/02/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CION INVESTMENT GROUP, LLCMEMBER
BURNS, WILLIAM JCHIEF COMPLIANCE OFFICER2058159
CROSSMAN, DOUGLAS SCHIEF EXECUTIVE OFFICER2749478
GATTO, MARKDIRECTOR
HOPKINSON, JODI AVP COMPLIANCE2898349
REISNER, MICHAEL ADAMDIRECTOR

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CION SECURITIES, LLC

CRD#: 15487

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