Sean M. Falzon

CION SECURITIES

New York, NY 10017

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CRD#: 6657101

Professional summary

Sean Michael Falzon, who also goes by Sean Falzon, is a registered financial professional currently at CION SECURITIES, LLC located in New York, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2017. Sean has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean Falzon

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 Sean Michael Falzon'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

April 24, 2023 - Present

CION SECURITIES, LLC

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

CRD#: 15487

New York, NY

Past

June 18, 2018 - March 6, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

June 12, 2018 - March 6, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 29, 2017 - April 7, 2018

NATIONAL SECURITIES CORPORATION

CRD#: 7569

ISELIN, NJ

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

Alabama
(2/8/2024)

Connecticut
(4/24/2023)

Delaware
(4/24/2023)

Florida
(2/8/2024)

Georgia
(2/8/2024)

Maryland
(4/24/2023)

Mississippi
(2/8/2024)

New Jersey
(4/24/2023)

New York
(4/24/2023)

Pennsylvania
(4/24/2023)

Tennessee
(2/8/2024)

Virginia
(4/24/2023)

West Virginia
(4/24/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/16/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/27/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2017

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Sean M. Falzon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Michael Falzon's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

NATIONAL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 6/16/2018

Series 63

Date: 11/27/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2017

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

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