Daniel M. Lavelle
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.
Daniel Myles Lavelle, who also goes by D L Lavelle, Danny Lavelle, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2011 - April 24, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
May 23, 2002 - November 3, 2006
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 13, 2001 - May 17, 2002
BGC FINANCIAL, L.P.
April 24, 2001 - November 7, 2001
BLUESTONE CAPITAL CORP.
September 27, 2000 - March 28, 2001
TRADE.COM ONLINE SECURITIES, INC.
October 27, 1997 - September 26, 2000
OPPENHEIMER & CO. INC.
August 29, 1996 - October 30, 1997
SHAMUS GROUP, INC.
March 28, 1994 - September 10, 1996
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - March 9, 1994
CITIGROUP GLOBAL MARKETS INC.
September 10, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
January 3, 1990 - September 20, 1990
BAIRD, PATRICK & CO., INC.
August 4, 1987 - January 1, 1990
BLAINE, ANDREWS & CO., INC.
May 4, 1987 - August 26, 1987
LEHMAN BROTHERS 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
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
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.
