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Frank A. Calcutta

TRADITION SECURITIES AND DERIVATIVES LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 1146946
FC

Professional summary

Frank Anthony Calcutta is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1986. Frank has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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 Frank Anthony Calcutta'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

January 4, 2016 - Present

TRADITION SECURITIES AND DERIVATIVES LLC

Office #1: 32 Old Slip 28th Floor, New York, NY 10005
BD
CRD#: 28269
New York, NY
Past

January 3, 2011 - January 6, 2016

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

August 1, 2000 - January 18, 2011

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

July 1, 1998 - August 1, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 19, 1989 - July 1, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

April 12, 1988 - April 13, 1989

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

April 1, 1988 - April 12, 1988

FAHNESTOCK INTERNATIONAL INC.

BD
CRD#: 279
Past

February 1, 1988 - April 13, 1989

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

June 26, 1987 - October 27, 1987

MULLER AND COMPANY, INC.

BD
CRD#: 2841
Past

January 27, 1987 - May 8, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

February 19, 1986 - August 11, 1986

WOLFE & HURST BOND BROKERS INC.

BD
CRD#: 8288

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
Florida
(7/16/2019)
RR
Georgia
(7/16/2019)
RR
Illinois
(8/15/2023)
RR
New Jersey
(1/4/2016)
RR
New York
(1/4/2016)
RR
Tennessee
(2/28/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
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)

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#
TRADITION AMERICA HOLDINGS INC. ("TAH")MEMBER
BACCALA, RAYMOND CHARLESPRESIDENT1000495
BRISEBOIS, FRANCOISMANAGER6613329
GANGI, JOHN JOSEPHPRINCIPAL FINANCIAL OFFICER2909843
LEIBOWITZ, MICHAEL SAUL MR.MANAGER5187937
MARTUSCELLO, MICHAEL HENRY IICHIEF COMPLIANCE OFFICER - FIXED INCOME5359170
MEROLA, DAVID SCOTTCHIEF COMPLIANCE OFFICER - EQUITIES/OPTIONS3154976
RICCIARDI, JUDITH ANNMANAGER, CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, FINOP, PRINCIPAL OPERATIONS OFFICER2260346
ROSENSHEIN, LARRY NMNMANAGER1534635
WOSTYN, WILLIAM PIERREMANAGER5608164

Disclosures

Regulatory Event32

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.

Company Information

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269New York, NY 10005

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