Joseph A. Paul
Professional summary
Joseph Anthony Paul, who also goes by Joseph A Paul, Joseph Anthony Paul, is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Paul's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2023 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 32 Old Slip 28th Floor, New York, NY 10005October 3, 2022 - April 2, 2023
J.P. MORGAN SECURITIES LLC
September 20, 2022 - April 2, 2023
J.P. MORGAN SECURITIES LLC
May 7, 2021 - January 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
May 7, 2021 - January 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2019 - April 7, 2021
J.P. MORGAN SECURITIES LLC
August 9, 2019 - April 7, 2021
J.P. MORGAN SECURITIES LLC
May 23, 2017 - March 7, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 10, 2000 - March 7, 2018
SCOTTRADE, INC.
March 9, 1999 - October 11, 2000
LCP CAPITAL CORP.
December 10, 1998 - February 1, 1999
ANDREW GARRETT, 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
(4/3/2023)
Exams
BOX Exchange LLC
FINRA
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current 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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