Larry N. Rosenshein
Professional summary
Larry Nmn Rosenshein, who also goes by Larry Rosenshein, is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.
Larry is registered as a RR (Registered Representative) and started their career in finance in 1986. Larry has worked at 4 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Larry Nmn Rosenshein's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 28, 2016 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 32 Old Slip 28th Floor, New York, NY 10005Office #2: 9 W, Broad Street 9th Floor, Stamford, CT 06902June 23, 2009 - July 26, 2011
TRADITION SECURITIES AND DERIVATIVES LLC
June 23, 2009 - November 18, 2024
TFS DERIVATIVES LLC
February 20, 1987 - December 24, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
July 23, 1986 - February 26, 1987
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/2/2016)
(2/10/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
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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