TD
Troy A. Draizen
JONESTRADING
Daniel Island, SC 29492
Some features on this profile are disabled
CRD#: 5072452
TD
Professional summary
Troy Anthony Draizen is a registered financial professional currently at JONESTRADING located in Daniel Island, South Carolina.
Troy is registered as a RR (Registered Representative) and started their career in finance in 2006. Troy has worked at 8 firms and has passed the Series 66, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 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.
CRS (Client Relationship Summary) - BD
Click below to view Troy Anthony Draizen'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®
NoneExperience
Current
January 19, 2021 - Present
JONESTRADING
Office #1: 880 Island Park Drive 3rd Floor, Daniel Island, SC 29492BD
CRD#: 6888
Daniel Island, SC
Past
November 8, 2017 - October 2, 2020
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
February 9, 2015 - July 21, 2020
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NY, NY
Past
September 11, 2013 - June 11, 2014
GETCO EXECUTION SERVICES LLC
BD
CRD#: 145021
JERSEY CITY, NJ
Past
January 3, 2011 - November 18, 2014
VIRTU AMERICAS LLC
BD
CRD#: 149823
RED BANK, NJ
Past
March 17, 2008 - January 3, 2011
KNIGHT DIRECT LLC
BD
CRD#: 135924
JERSEY CITY, NJ
Past
October 25, 2007 - September 4, 2008
EDGETRADE LLC
BD
CRD#: 42071
JERSEY CITY, NJ
Past
January 20, 2006 - October 12, 2007
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
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(9/30/2021)
RR
Alaska(9/30/2021)
RR
Arizona(9/30/2021)
RR
Arkansas(9/30/2021)
RR
California(9/30/2021)
RR
Colorado(9/30/2021)
RR
Connecticut(9/30/2021)
RR
Delaware(9/30/2021)
RR
District of Columbia(9/30/2021)
RR
Florida(9/30/2021)
RR
Georgia(9/30/2021)
RR
Hawaii(9/30/2021)
RR
Idaho(9/30/2021)
RR
Illinois(9/30/2021)
RR
Indiana(9/30/2021)
RR
Iowa(9/30/2021)
RR
Kansas(9/30/2021)
RR
Kentucky(9/30/2021)
RR
Louisiana(9/30/2021)
RR
Maine(9/30/2021)
RR
Maryland(9/30/2021)
RR
Massachusetts(9/30/2021)
RR
Michigan(9/30/2021)
RR
Minnesota(9/30/2021)
RR
Mississippi(9/30/2021)
RR
Missouri(9/30/2021)
RR
Montana(9/30/2021)
RR
Nebraska(9/30/2021)
RR
Nevada(9/30/2021)
RR
New Hampshire(9/30/2021)
RR
New Jersey(9/30/2021)
RR
New Mexico(9/30/2021)
RR
New York(1/19/2021)
RR
North Carolina(9/30/2021)
RR
North Dakota(9/30/2021)
RR
Ohio(10/4/2021)
RR
Oklahoma(9/30/2021)
RR
Oregon(9/30/2021)
RR
Pennsylvania(9/30/2021)
RR
Puerto Rico(9/30/2021)
RR
Rhode Island(9/30/2021)
RR
South Carolina(9/30/2021)
RR
South Dakota(9/30/2021)
RR
Tennessee(9/30/2021)
RR
Texas(9/30/2021)
RR
Utah(9/30/2021)
RR
Vermont(9/30/2021)
RR
Virgin Islands(9/30/2021)
RR
Virginia(9/30/2021)
RR
Washington(9/30/2021)
RR
West Virginia(9/30/2021)
RR
Wisconsin(9/30/2021)
RR
Wyoming(9/30/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/11/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.
CRD#: 6888 / SEC#: , 8-26089
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
