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Georg Chimion

CRD# 5127452·Registered 2016 - 2022
Previously Registered: Being a previously registered professional could mean that Georg 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.

Professional Summary

Georg Chimion was a registered financial advisor. Georg was a previously registered financial professional and started their career in finance 2016 - 2022. Georg had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

10 years in the financial services industry

Current & Past Employments

DUANE STREET CAPITAL BD LLC·CRD# 299655
BD
New York, NY
April 2, 2019 - October 19, 2022
GLOBAL ALLIANCE SECURITIES LLC·CRD# 167164
BD
New York, NY
July 2, 2018 - November 29, 2018
TULLETT PREBON FINANCIAL SERVICES LLC·CRD# 28196
BD
New York, NY
January 30, 2017 - November 17, 2017
TULLETT PREBON FINANCIAL SERVICES LLC·CRD# 28196
BD
New York, NY
November 23, 2016 - January 17, 2017

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Current Firm

DS
DUANE STREET CAPITAL BD LLC

DUANE STREET CAPITAL BD LLC

CRD#: 299655 / SEC#: 8-70254
BD
Terminated by SEC on 12/19/2022

Contact Information

Established

New York since 10/10/2018

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
CONNOLLY, BRIAN SEANMANAGING MEMBER, CCO4318562
CHIMION, GEORGMANAGING DIRECTOR5127452
POLLOCK, MARTIN JAYFINOP, PFO, POO1067521

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2016About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2016About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Jun 2016About the Series 3 exam

Series 24 — General Securities Principal Examination

Passed Feb 2019About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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