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BM

Brian L. Mccarthy

CION SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 5925293
BM

Professional summary

Brian Lawrence Mccarthy is a registered financial professional currently at CION SECURITIES, LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2012. Brian has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Lawrence Mccarthy'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

January 5, 2023 - Present

CION SECURITIES, LLC

Office #1: 100 Park Avenue 25th Floor, New York, NY 10017
BD
CRD#: 15487
New York, NY
Past

January 3, 2022 - May 13, 2022

CAIS CAPITAL LLC

BD
CRD#: 154512
NEW YORK, NY
Past

June 28, 2016 - December 20, 2021

PGIM INVESTMENTS LLC

RIA
CRD#: 105670
Newark, NJ
Past

June 20, 2016 - December 20, 2021

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

February 1, 2016 - June 16, 2016

NAVY FEDERAL ASSET MANAGEMENT, LLC

RIA
CRD#: 144244
Chesapeake, VA
Past

February 1, 2016 - June 16, 2016

NAVY FEDERAL INVESTMENT SERVICES, LLC

BD
CRD#: 138459
CHESAPEAKE, VA
Past

November 20, 2012 - January 4, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
VIRGINIA BEACH, VA
Past

October 11, 2012 - January 4, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
VIRGINIA BEACH, VA

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
Illinois
(3/16/2023)
RR
Indiana
(3/21/2023)
RR
Iowa
(4/4/2025)
RR
Minnesota
(4/1/2025)
RR
Missouri
(3/27/2025)
RR
New York
(1/21/2023)
RR
Wisconsin
(3/14/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/16/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/10/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CION SECURITIES, LLC
CION INVESTMENTS | OSPREY SECURITIES CORP. | ICON SECURITIES, LLC | ICON SECURITIES CORP. | ICON SECURITIES CORP | ICON INVESTMENTS | ICG SECURITIES CORP. | CION SECURITIES, LLC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CION INVESTMENT GROUP, LLCMEMBER
BURNS, WILLIAM JCHIEF COMPLIANCE OFFICER2058159
CROSSMAN, DOUGLAS SCHIEF EXECUTIVE OFFICER2749478
GATTO, MARKDIRECTOR
HOPKINSON, JODI AVP COMPLIANCE2898349
REISNER, MICHAEL ADAMDIRECTOR

Disclosures

Regulatory Event3

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.

Company Information

CION SECURITIES, LLC

CRD#: 15487New York, NY 10017

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