David Scott Merola
Professional Summary
David Scott Merola, who also goes by David Merola, is a registered financial advisor currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York. David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 8 firms and has passed the Series 63, Series 65, Series 57TO, Series 79TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 4, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Merola
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Contact Information
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Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
BRIDGEVIEW EXECUTION SERVICES | TSF | TRADITION SECURITIES AND FUTURES | TRADITION SECURITIES AND DERIVATIVES, INC. | TRADITION SECURITIES AND DERIVATIVES LLC | TRADITION SECURITIES AND DERIVATIVES INC. | TRADITION EMERGING MARKETS | 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
Contact Information
Main Address
32 Old Slip 28th Floor, New York, NY 10005Mailing Address
32 Old Slip 28th Floor, New York, NY 10005Phone Number
(212) 791-4500Established
Delaware since 03/30/1989Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (44 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| LUDERS, MICHAEL CHRISTIAN | CHIEF COMPLIANCE OFFICER - FIXED INCOME | 4628733 |
| 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
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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.
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State Registrations and Notice Filings
(9/29/2014)
(10/4/2018)
(10/4/2018)
(9/29/2014)
(9/29/2014)
(3/16/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 1999Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2006About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2006About the Series 10 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Scott Merola's CRS (Customer Relationship Summary).
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