Robert P. Twohig
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.
Robert Peter Twohig, who also goes by Robert Peter Twohig Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
January 18, 2022 - June 3, 2022
TRADITION SECURITIES AND DERIVATIVES LLC
June 25, 2018 - February 1, 2021
WHITAKER SECURITIES LLC
May 31, 2017 - June 29, 2018
LEK SECURITIES CORPORATION
April 7, 2016 - June 1, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
February 6, 2012 - November 19, 2015
GFI SECURITIES LLC
March 28, 2001 - August 16, 2004
THE FOREST ALTERNATIVE STRATEGIES FUND II, LP.
March 28, 2001 - August 16, 2004
FOREST PERFORMANCE FUND LP
March 28, 2001 - August 29, 2006
FOREST FULCRUM FUND L.P.
October 28, 1996 - January 22, 2001
BGC FINANCIAL, L.P.
July 18, 1990 - November 8, 1996
TP ICAP GLOBAL MARKETS AMERICAS LLC
January 24, 1989 - July 16, 1990
GINTELCO, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/16/2012
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
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