David S. Merola
Professional summary
David Scott Merola, who also goes by David Merola, is a registered financial professional 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 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Scott Merola's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2014 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 32 Old Slip 28th Floor, New York, NY 10005Office #2: 32 Old Slip 28th Floor, New York, NY 10005September 18, 2017 - November 18, 2024
TFS DERIVATIVES LLC
October 10, 2008 - October 1, 2014
STANDARD CREDIT SECURITIES INC.
November 26, 2007 - September 29, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
November 26, 2007 - April 22, 2016
TFS DERIVATIVES LLC
January 19, 2006 - July 26, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 12, 2004 - December 20, 2005
TP ICAP GLOBAL MARKETS AMERICAS LLC
January 22, 2003 - March 21, 2003
KNIGHT CAPITAL MARKETS LLC
March 28, 2000 - March 21, 2003
KNIGHT CAPITAL AMERICAS, L.P.
April 20, 1999 - March 21, 2000
HERZOG, HEINE, GEDULD, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/29/2014)
(10/4/2018)
(10/4/2018)
(9/29/2014)
(9/29/2014)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 7/24/1999
Limited Representative-Equity Trader ExamBOX 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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