John E. Puckhaber
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Edward Puckhaber was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2013 - September 16, 2025
TRADITION SECURITIES AND DERIVATIVES LLC
June 12, 2013 - September 18, 2013
AVATAR CAPITAL GROUP LLC
April 18, 2008 - February 14, 2015
STANDARD CREDIT SECURITIES INC.
June 1, 2005 - May 15, 2008
GFI SECURITIES LLC
December 2, 1998 - June 7, 2005
W.A. CAPITAL MARKETS
July 13, 1998 - October 28, 1998
INTERCAPITAL INTERNATIONAL INC.
September 5, 1996 - July 13, 1998
EXCO RMJ INTERNATIONAL INC.
September 5, 1996 - October 28, 1998
INTERCAPITAL GOVERNMENT SECURITIES INC.
March 23, 1989 - August 22, 1996
CHAPDELAINE CORPORATE SECURITIES & CO
August 20, 1986 - March 4, 1989
KMS CORPORATE BROKERS, INC.
November 19, 1985 - October 16, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRADITION SECURITIES AND DERIVATIVES LLC
CRD#: 28269 / SEC#: , 8-43559
Contact information
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
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