John A. Matthews

CION SECURITIES

New York, NY 10017

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CRD#: 5738839

Professional summary

John A Matthews, who also goes by John Matthews, is a registered financial professional currently at CION SECURITIES, LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2011. John has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Matthews

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 John A Matthews'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

February 10, 2020 - Present

CION SECURITIES, LLC

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

CRD#: 15487

New York, NY

Past

November 12, 2019 - February 4, 2020

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

January 3, 2019 - February 20, 2020

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA

CRD#: 110353

NEW YORK, NY

Past

January 2, 2019 - November 12, 2019

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

January 26, 2016 - January 2, 2019

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

January 26, 2016 - January 2, 2019

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

April 4, 2012 - December 16, 2014

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEW YORK, NY

Past

November 14, 2011 - December 16, 2014

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, 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

Delaware
(7/13/2022)

District of Columbia
(7/13/2022)

Maryland
(7/13/2022)

New Jersey
(7/13/2022)

New York
(2/10/2020)

Pennsylvania
(7/13/2022)

Virginia
(7/13/2022)

West Virginia
(7/13/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/3/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2011

General Securities Representative 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

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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Firm Stability Insights

John A. Matthews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John A Matthews's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY

MORGAN STANLEY

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/3/2012

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2011

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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