Matthew C. Tucci
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.
Matthew Christopher Tucci was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1998. Matthew had worked at 6 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2014 - September 4, 2015
TRADITION SECURITIES AND DERIVATIVES LLC
January 2, 2014 - September 29, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
June 27, 2012 - August 22, 2014
AVATAR CAPITAL GROUP LLC
February 27, 2012 - October 1, 2014
STANDARD CREDIT SECURITIES INC.
September 14, 2006 - September 2, 2011
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 2, 2005 - September 14, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
May 12, 2000 - November 8, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
February 11, 1998 - August 30, 2000
TULLETT & TOKYO SECURITIES, 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 62
Date: 10/27/1998
Corporate Securities Limited Representative ExaminationCurrent 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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