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William L. Oliveira

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CRD#: 2984267
WO

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.

William Louis Oliveira was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1998. William had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

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

September 17, 2013 - June 4, 2014

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

January 20, 2011 - September 18, 2013

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
PORTLAND, ME
Past

May 16, 2008 - December 20, 2010

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

February 21, 2006 - November 26, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 8, 2005 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

January 29, 2002 - November 16, 2005

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA
Past

May 11, 1999 - January 15, 2002

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

June 1, 1998 - April 14, 1999

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

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
IAR
Series 66
Date: 1/2/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/19/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/29/1998
Investment Company Products/Variable Contracts Representative 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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