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DT

Douglas P. Taylor

TRADITION SECURITIES AND DERIVATIVES
New York, NY 10005
Some features on this profile are disabled
CRD#: 1674868
DT

Professional summary

Douglas Peter Taylor, who also goes by Douglas P Taylor, is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 7 firms and has passed the Series 72 and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas P Taylor

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 Douglas Peter Taylor'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

July 11, 2023 - Present

TRADITION SECURITIES AND DERIVATIVES LLC

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

July 24, 2008 - July 5, 2023

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

February 27, 1997 - July 25, 2008

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

April 23, 1990 - February 10, 1997

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

January 1, 1990 - April 7, 1990

ASIEL & CO. LLC

BD
CRD#: 1112
NEW YORK, NY
Past

May 24, 1988 - September 1, 1989

FUNDAMENTAL BROKERS

BD
CRD#: 19837
Past

July 25, 1987 - May 11, 1988

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710

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
(1/8/2024)

Exams

General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

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)
PREMIUM
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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
LUDERS, MICHAEL CHRISTIANCHIEF COMPLIANCE OFFICER - FIXED INCOME4628733
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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