PM
Peter L. Moseley
TRADITION SECURITIES AND DERIVATIVES LLC
Stamford, CT 06902
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CRD#: 1049431
PM
Professional summary
Peter Livingston Moseley is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in Stamford, Connecticut.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1982. Peter has worked at 5 firms and has passed the Series 63, 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.
CRS (Client Relationship Summary) - BD
Click below to view Peter Livingston Moseley'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
March 20, 2023 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 9 W, Broad Street 9th Floor, Stamford, CT 06902BD
CRD#: 28269
Stamford, CT
Past
February 1, 2019 - May 19, 2022
J.M LUMMIS SECURITIES, INC.
BD
CRD#: 43818
NEW CANAAN, CT
Past
September 2, 2015 - November 2, 2018
CROSS POINT CAPITAL LLC
BD
CRD#: 136223
NEW YORK, NY
Past
January 26, 2000 - August 25, 2015
J.M LUMMIS SECURITIES, INC.
BD
CRD#: 43818
NEW CANAAN, CT
Past
March 18, 1996 - August 28, 1997
BONDNET BROKERAGE, INCORPORATED
BD
CRD#: 35905
GREENWICH, CT
Past
March 9, 1990 - January 30, 1996
ASIEL & CO. LLC
BD
CRD#: 1112
NEW YORK, NY
Past
August 24, 1982 - February 10, 1989
ASIEL & CO. LLC
BD
CRD#: 1112
NEW YORK, NY
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
Connecticut(3/20/2023)
RR
Florida(3/27/2023)
RR
Minnesota(3/31/2023)
RR
New Jersey(3/22/2023)
RR
New York(3/26/2023)
RR
North Carolina(3/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
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)
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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.
