Michael J. Martella
Professional summary
Michael Joseph Martella was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Michael had worked at 9 firms, which includes TRADITION SECURITIES AND DERIVATIVES LLC, VANDHAM SECURITIES CORP., BROKERAGEAMERICA INC, NATIONAL FINANCIAL SERVICES LLC, WSM HOLDINGS L.L.C., CITICORP INVESTMENT SERVICES, CITICORP FINANCIAL SERVICESINC., W.J. NOLAN & COMPANY INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2005 - January 3, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
March 26, 2002 - January 7, 2005
VANDHAM SECURITIES CORP.
January 15, 2002 - March 26, 2002
BROKERAGEAMERICA, INC
June 12, 1996 - November 29, 2001
NATIONAL FINANCIAL SERVICES LLC
May 28, 1996 - June 25, 1996
WSM HOLDINGS, L.L.C.
June 1, 1992 - November 8, 1994
CITICORP INVESTMENT SERVICES
June 10, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
December 3, 1990 - February 27, 1991
W.J. NOLAN & COMPANY, INC.
July 20, 1988 - September 23, 1989
LEHMAN BROTHERS INC.
September 22, 1987 - September 23, 1989
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
Series 55
Date: 4/24/1999
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
