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DS

Derek S. Schwartz

CION SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2837214
DS

Professional summary

Derek Striar Schwartz is a registered financial professional currently at CION SECURITIES, LLC located in New York, New York.

Derek is registered as a RR (Registered Representative) and started their career in finance in 1997. Derek has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 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) - BD

Click below to view Derek Striar Schwartz's CRS (Customer Relationship Summary).

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

Current

May 20, 2008 - Present

CION SECURITIES, LLC

Office #1: 100 Park Avenue 25th Floor, New York, NY 10017Office #2: 100 Park Avenue 25th Floor, New York, NY 10017
BD
CRD#: 15487
New York, NY
Past

December 20, 2005 - April 15, 2008

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

December 1, 2005 - April 15, 2008

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

May 3, 2005 - December 21, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
STAMFORD, CT
Past

February 2, 2004 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 24, 2002 - July 3, 2003

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

June 8, 2001 - May 14, 2002

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

July 6, 1999 - July 3, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 1, 1997 - June 9, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

January 1, 1997 - June 9, 1999

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/29/2014)
RR
Alaska
(5/29/2014)
RR
Arizona
(5/29/2014)
RR
Arkansas
(5/29/2014)
RR
California
(5/29/2014)
RR
Colorado
(5/29/2014)
RR
Connecticut
(5/29/2014)
RR
Delaware
(5/20/2008)
RR
District of Columbia
(1/7/2009)
RR
Florida
(5/29/2014)
RR
Georgia
(5/29/2014)
RR
Hawaii
(5/29/2014)
RR
Idaho
(5/29/2014)
RR
Illinois
(5/29/2014)
RR
Indiana
(5/29/2014)
RR
Iowa
(5/29/2014)
RR
Kansas
(5/29/2014)
RR
Kentucky
(5/29/2014)
RR
Louisiana
(5/29/2014)
RR
Maine
(5/29/2014)
RR
Maryland
(5/20/2008)
RR
Massachusetts
(5/29/2014)
RR
Michigan
(5/29/2014)
RR
Minnesota
(5/29/2014)
RR
Mississippi
(5/29/2014)
RR
Missouri
(5/29/2014)
RR
Montana
(5/29/2014)
RR
Nebraska
(5/29/2014)
RR
Nevada
(5/29/2014)
RR
New Hampshire
(5/29/2014)
RR
New Jersey
(4/2/2010)
RR
New Mexico
(5/29/2014)
RR
New York
(4/13/2009)
RR
North Carolina
(5/29/2014)
RR
North Dakota
(5/29/2014)
RR
Ohio
(5/29/2014)
RR
Oklahoma
(5/29/2014)
RR
Oregon
(5/29/2014)
RR
Pennsylvania
(5/20/2008)
RR
Puerto Rico
(5/29/2014)
RR
Rhode Island
(5/29/2014)
RR
South Carolina
(5/29/2014)
RR
South Dakota
(5/29/2014)
RR
Tennessee
(5/29/2014)
RR
Texas
(5/29/2014)
RR
Utah
(5/29/2014)
RR
Vermont
(5/29/2014)
RR
Virginia
(5/20/2008)
RR
Washington
(5/29/2014)
RR
West Virginia
(5/20/2008)
RR
Wisconsin
(5/29/2014)
RR
Wyoming
(5/29/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/2/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/24/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/17/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

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#: 15487New York, NY 10017

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