RB
Raymond C. Baccala
TRADITION SECURITIES AND DERIVATIVES LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 1000495
RB
Professional summary
Raymond Charles Baccala, who also goes by Ray Baccala, is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 1982. Raymond has worked at 5 firms and has passed the Series 63, Series 3, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ray Baccala
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.
CRS (Client Relationship Summary) - BD
Click below to view Raymond Charles Baccala'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®
NoneExperience
Current
September 16, 1991 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 32 Old Slip 28th Floor, New York, NY 10005BD
CRD#: 28269
New York, NY
Past
August 6, 1997 - January 14, 2008
STANDARD CREDIT SECURITIES INC.
BD
CRD#: 42813
NEW YORK, NY
Past
November 2, 1989 - September 19, 1991
TRADITION BERISFORD (GOVERNMENT SECURITIES) INC.
BD
CRD#: 24557
Past
October 28, 1986 - February 18, 1987
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
Past
September 3, 1982 - February 26, 1985
SALOMON BROTHERS INC.
BD
CRD#: 740
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
Alabama(11/2/2018)
RR
Alaska(11/2/2018)
RR
Arizona(11/2/2018)
RR
California(11/2/2018)
RR
Colorado(11/2/2018)
RR
Connecticut(11/2/2018)
RR
Delaware(11/2/2018)
RR
District of Columbia(11/2/2018)
RR
Florida(11/2/2018)
RR
Georgia(11/2/2018)
RR
Illinois(11/2/2018)
RR
Indiana(11/2/2018)
RR
Iowa(11/2/2018)
RR
Kansas(11/2/2018)
RR
Kentucky(11/2/2018)
RR
Louisiana(11/2/2018)
RR
Maine(11/2/2018)
RR
Maryland(11/2/2018)
RR
Massachusetts(11/2/2018)
RR
Michigan(11/2/2018)
RR
Minnesota(11/2/2018)
RR
Missouri(11/2/2018)
RR
Montana(11/2/2018)
RR
Nevada(11/2/2018)
RR
New Hampshire(11/2/2018)
RR
New Jersey(11/2/2018)
RR
New Mexico(11/2/2018)
RR
New York(6/11/1997)
RR
North Carolina(11/2/2018)
RR
Ohio(11/2/2018)
RR
Oklahoma(11/2/2018)
RR
Oregon(11/2/2018)
RR
Pennsylvania(11/2/2018)
RR
Rhode Island(11/2/2018)
RR
South Carolina(11/2/2018)
RR
Tennessee(11/2/2018)
RR
Texas(11/5/2018)
RR
Utah(11/2/2018)
RR
Vermont(11/2/2018)
RR
Virginia(11/2/2018)
RR
Washington(11/2/2018)
RR
Wisconsin(11/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TRADITION SECURITIES AND DERIVATIVES LLC
BRIDGEVIEW EXECUTION SERVICES | TSF | TRADITION SECURITIES AND FUTURES | TRADITION SECURITIES AND DERIVATIVES, INC. | TRADITION SECURITIES AND DERIVATIVES LLC | TRADITION SECURITIES AND DERIVATIVES INC. | TRADITION ASIEL SECURITIES INC. | TRADITION ASIEL SECURITIES | TRADITION (GOVERNMENT SECURITIES) INC. | TFSD | TFS DERIVATIVES | NOVA EXECUTION SERVICES | NEXUS AMERICA | NAUTILUS SECURITIES | JUNO CAPITAL MARKETS | HIGH POINT SECURITIES | ELIX DERIVATIVES | DEEPWELL LIQUIDITY MANAGEMENT
CRD#: 28269 / SEC#: , 8-43559
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
32 Old Slip 28th Floor, New York, NY 10005
Mailing Address
32 Old Slip 28th Floor, New York, NY 10005
Phone number
(212) 791-4500
Established
Delaware since 03/30/1989
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | MEMBER | |
| BACCALA, RAYMOND CHARLES | PRESIDENT | 1000495 |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| GANGI, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2909843 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | 5187937 |
| MARTUSCELLO, MICHAEL HENRY II | CHIEF COMPLIANCE OFFICER - FIXED INCOME | 5359170 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER - EQUITIES/OPTIONS | 3154976 |
| RICCIARDI, JUDITH ANN | MANAGER, CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, FINOP, PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER | 1534635 |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 32 |
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.
