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DA

Derrek J. Aucone

SPIRE SECURITIES
Locust Valley, NY 11560
Some features on this profile are disabled
CRD#: 6849757
DA

Professional summary

Derrek James Aucone is a registered financial professional currently at SPIRE SECURITIES, LLC located in Locust Valley, New York.

Derrek is registered as a RR (Registered Representative) and started their career in finance in 2018. Derrek has worked at 2 firms and has passed the SIE and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derrek James Aucone's CRS (Customer Relationship Summary).
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

November 8, 2019 - Present

SPIRE SECURITIES, LLC

Office #1: 63 Forest Avenue, Locust Valley, NY 11560
BD
CRD#: 144131
Locust Valley, NY
Past

June 20, 2018 - November 13, 2019

MORGAN STANLEY

BD
CRD#: 149777
GARDEN CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SPIRE SECURITIES, LLC
SPIRE SECURITIES, LLC

CRD#: 144131 / SEC#: , 8-67635

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
7901 Jones Branch Dr. Suite 810, Mclean, VA 22102
Mailing Address
7901 Jones Branch Dr. Suite 800, Mclean, VA 22102
Phone number
(703) 657-6075
Established
Virginia since 04/02/2007
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPIRE INVESTMENT PTNERPARENT/HOLDING COMPANY
BLISK, DAVID LLOYDPRESIDENT
MALIK, FEISAL AHMED KHANCCO2115832
MILBURN, ROBERTFINOP2013040

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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Company Information

SPIRE SECURITIES, LLC

CRD#: 144131Locust Valley, NY 11560

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