Derek L. Botwinick

LUMIERE FINANCIAL

New York, NY 10017

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CRD#: 4634007

Professional summary

Derek Lawrence Botwinick, who also goes by Rick Botwinick, is a registered financial advisor currently at LUMIERE FINANCIAL located in New York, New York and PURSHE KAPLAN STERLING INVESTMENTS located in New York, New York.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Derek has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Botwinick

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.

1) 1. Lumiere Financial Group, LLC 2. Investment Related 3. Office of Employment Address 4. RIA & Insurance Firm 5. IAR 6. 6/2022 7. 160 hrs/mo 8. 160 hrs during trading 9. Provide Investment Advice * 2) 1. DLB Associates 2. Investment Related 3. 302 Tinker Dr., Oceanside , NY 11572 4. Health Insurance, Medicare Insurance 5. Owner 6. 02/2014 7. 200 hrs/mo 8. 200 hrs during trading 9. Group Benefits, individual medicare * 3) Independent Licensed Insurance Agent; Investment Related; Address: Office of Employment Address; 2/2011; Fixed / Traditional Insurance * 4) Purshe Kaplan Sterling Investments, Investment Related - Yes, Address: See Registered Branch Location, Nature: Broker Dealer, Position: Registered Representative, Start: 08/2022, Number of Hours/Mo: 15 Number of Hrs during trading hours: 15, Duties: Mr. Botwinick is a registered representative of BD Purshe Kaplan Sterling Investments, member FINRA/SIPC. He may offer products and receive normal and customary commissions as a result of these transactions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Lawrence Botwinick's CRS (Customer Relationship Summary).

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

June 24, 2022 - Present

LUMIERE FINANCIAL

Office #1: 675 Third Avenue Suite 920, New York, NY 10017

RIA

CRD#: 319171

New York, NY

Current

August 2, 2022 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 675 Third Ave Suite 920, New York, NY 10017

CRD#: 35747

New York, NY

Past

June 7, 2021 - June 27, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Bethpage, NY

Past

October 4, 2017 - June 27, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

Bethpage, NY

Past

June 2, 2014 - October 10, 2017

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Bethpage, NY

Past

March 4, 2011 - June 12, 2014

NEW ENGLAND SECURITIES

CRD#: 615

UNIONDALE, NY

Past

February 13, 2003 - March 1, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LUMIERE FINANCIAL

LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP

CRD#: 319171 / SEC#: 801-123638

RIA

Registered Investment Advisory firm - (4/6/2022 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

District of Columbia
(8/2/2022)

Florida
(8/2/2022)

Massachusetts
(8/2/2022)

IAR

New York
(6/24/2022)

New York
(8/2/2022)

Pennsylvania
(8/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/28/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/11/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LUMIERE FINANCIAL

LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP

CRD#: 319171 / SEC#: 801-123638

RIA

Registered Investment Advisory firm - (4/6/2022 Approved)

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Contact information

Main Address

675 Third Avenue Suite 920, New York, NY 10017

Mailing Address

Phone number

(212) 516-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LUMIERE FINANCIAL GROUP LLC (10/29/2025)

Regulatory assets under management

Total Number of Accounts	246
AUM (Assets Under Management)	$ 59,927,014

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.

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Advisor Monitoring

Firm Stability Insights

Derek L. Botwinick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Lawrence Botwinick's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRINCIPAL SECURITIES, INC.

NEW ENGLAND SECURITIES

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

LUMIERE FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/2003

SIE

Date: 10/1/2018

Series 6

Date: 2/11/2003

FINRA

Current Firm

LUMIERE FINANCIAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUMIERE FINANCIAL

TRUST BUT VERIFY

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