Thomas P. Lukacovic
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.
Thomas Paul Lukacovic, CFA was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2016 - February 9, 2016
TRADITION SECURITIES AND DERIVATIVES LLC
July 6, 2011 - February 9, 2016
TFS DERIVATIVES LLC
July 28, 2009 - July 14, 2011
TRADITION SECURITIES AND DERIVATIVES LLC
September 18, 2007 - July 7, 2009
COWEN EXECUTION SERVICES LLC
August 16, 2005 - September 18, 2007
THE BENCHMARK COMPANY, LLC
February 25, 2003 - August 4, 2005
BROADPOINT AMTECH, INC.
June 26, 1996 - February 19, 2003
BMO CAPITAL MARKETS CORP.
July 19, 1995 - June 14, 1996
UBS FINANCIAL SERVICES INC.
March 10, 1994 - March 28, 1994
PAN AMERICAN SECURITIES, INC.
August 27, 1992 - January 6, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 1989 - August 24, 1992
GLEACHER & COMPANY SECURITIES, INC.
February 9, 1987 - December 19, 1989
J. T. MORAN & CO., INC.
October 22, 1986 - December 16, 1986
FIRST JERSEY SECURITIES, 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
Exams
Series 55
Date: 5/19/2006
Limited Representative-Equity Trader ExamCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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