Michael J. Slocum

CION SECURITIES

New York, NY 10017

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CRD#: 4016305

Professional summary

Michael J Slocum, who also goes by Michael John Slocum, Mike John Slocum, is a registered financial professional currently at CION SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael John Slocum | Mike John Slocum

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 Michael J Slocum'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

September 17, 2024 - Present

CION SECURITIES, LLC

Office #1: 100 Park Avenue 25th Floor, New York, NY 10017

CRD#: 15487

New York, NY

Past

August 1, 2020 - August 5, 2024

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

Mamaroneck, NY

Past

July 29, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

MAMORONECK, NY

Past

July 22, 2019 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

MAMORONECK, NY

Past

April 15, 2011 - January 17, 2019

PIMCO INVESTMENTS LLC

CRD#: 154957

NEW YORK, NY

Past

April 4, 2006 - April 11, 2011

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

October 25, 2002 - March 15, 2006

G.RESEARCH, LLC

CRD#: 7353

RYE, NY

State Registrations and Notice Filings

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

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

Connecticut
(9/17/2024)

Delaware
(3/27/2025)

District of Columbia
(3/27/2025)

Maine
(3/27/2025)

Maryland
(3/27/2025)

Massachusetts
(3/27/2025)

New Hampshire
(3/27/2025)

New Jersey
(9/17/2024)

New York
(9/17/2024)

Pennsylvania
(3/27/2025)

Rhode Island
(3/27/2025)

Vermont
(3/27/2025)

Virginia
(3/27/2025)

West Virginia
(3/27/2025)

Exams

State Security Law Exam

Series 63

Date: 6/26/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/17/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/24/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CION SECURITIES, LLC

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
CION INVESTMENT GROUP, LLC	MEMBER
BURNS, WILLIAM J	CHIEF COMPLIANCE OFFICER	2058159
CROSSMAN, DOUGLAS S	CHIEF EXECUTIVE OFFICER	2749478
GATTO, MARK	DIRECTOR
HOPKINSON, JODI A	VP COMPLIANCE	2898349
REISNER, MICHAEL ADAM	DIRECTOR

Disclosures

Regulatory Event

Red Flags

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

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Firm Stability Insights

Michael J. Slocum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael J Slocum's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

PIMCO INVESTMENTS LLC

FRANKLIN DISTRIBUTORS, LLC

G.RESEARCH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/2003

SIE

Date: 10/1/2018

Series 3

Date: 6/17/2011

Series 7

Date: 10/24/2002

Series 24

Date: 12/1/2020

FINRA

Current Firm

CION SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CION SECURITIES, LLC

TRUST BUT VERIFY

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