Daniel G. Oleckna
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.
Daniel George Oleckna was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1967. Daniel had worked at 18 firms and has passed the Series 63, Series 3, Series 5, Series 1, Series 000, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 1996 - December 6, 1996
TRADITION SECURITIES AND DERIVATIVES LLC
December 5, 1995 - July 30, 1996
MONITOR INVESTMENT GROUP, INC.
July 14, 1995 - October 23, 1995
M. RIMSON & CO., INC.
October 5, 1994 - February 6, 1996
LCP CAPITAL CORP.
February 24, 1994 - March 31, 1994
MEYERS POLLOCK ROBBINS, INC.
May 7, 1993 - February 4, 1994
PARAGON CAPITAL MARKETS, INC.
April 5, 1993 - April 8, 1993
H.J. MEYERS & CO., INC.
January 7, 1991 - February 23, 1993
REICH & CO., INC.
February 1, 1990 - November 23, 1990
JJC SECURITIES CO., INC.
September 28, 1988 - January 27, 1990
J. T. MORAN & CO., INC.
January 24, 1986 - September 27, 1988
SWARTWOOD, HESSE INC.
August 30, 1983 - November 25, 1985
LEHMAN BROTHERS INC.
November 30, 1982 - August 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
January 5, 1976 - April 19, 1983
E. F. HUTTON & COMPANY INC
September 4, 1975 - April 15, 1976
G A SAXTON & CO INC
August 16, 1974 - October 24, 1975
DREXEL BURNHAM LAMBERT INCORPORATED
January 17, 1973 - June 27, 1975
EDWARDS & HANLY
March 13, 1967 - June 7, 1973
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
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 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 1
Date: 2/23/1966
Registered Representative ExaminationSeries 000
Date: 4/7/1963
General Securities Principal ExaminationSeries 00
Date: 3/14/1974
General Securities Principal 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
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.
