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SL

Steven E. Luskey

TRADITION SECURITIES AND DERIVATIVES LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 2736591
SL

Professional summary

Steven Eric Luskey is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Steven Eric Luskey'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

January 2, 2014 - Present

TRADITION SECURITIES AND DERIVATIVES LLC

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

October 3, 2011 - March 3, 2014

STANDARD CREDIT SECURITIES INC.

BD
CRD#: 42813
NEW YORK, NY
Past

August 31, 2010 - October 11, 2011

CCM SECURITIES, LLC

BD
CRD#: 104457
NEW YORK, NY
Past

April 20, 2009 - August 18, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

May 18, 2007 - April 17, 2009

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

January 4, 2006 - July 18, 2007

STONEHAVEN, LLC

BD
CRD#: 118913
CHICAGO, IL
Past

May 20, 2005 - December 13, 2005

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

July 1, 2003 - March 17, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
FT WORTH, TX
Past

July 1, 2003 - March 17, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 5, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
FT WORTH, TX
Past

September 17, 1996 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
California
(1/2/2014)
RR
Connecticut
(1/2/2014)
RR
Illinois
(1/2/2014)
RR
Massachusetts
(3/3/2014)
RR
New Jersey
(1/2/2014)
RR
New York
(1/2/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/5/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/20/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq PHLX LLC

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)
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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
MARTUSCELLO, MICHAEL HENRY IICHIEF COMPLIANCE OFFICER - FIXED INCOME5359170
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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