Derek Botwinick is a registered investment advisor, based in New York, NY, with 23 years of industry experience.
Location
675 Third Avenue, Suite 920, New York, NY, 10017
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Derek is affiliated with Lumiere Financial Group as an IAR, dedicating full-time hours to providing investment advice. He also owns DLB Associates, focusing on health and Medicare insurance, which takes up more than full-time hours, and is a registered representative with Purshe Kaplan Sterling Investments, spending about 10-20% of his time in this role.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
Lumiere Financial
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Principal Securities, INC.Broker
New England SecuritiesBroker
Hornor, Townsend & Kent, INC.Broker
State Registrations5 states
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