Christopher M. Ferlauto
Professional summary
Christopher Michael Ferlauto, who also goes by Christopher Michael Ferlauto Sr., Christopher Michael Ferlauto, is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 25 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Ferlauto's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2016 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 32 Old Slip 28th Floor, New York, NY 10005July 6, 2011 - April 22, 2016
TFS DERIVATIVES LLC
July 25, 2007 - July 14, 2011
TRADITION SECURITIES AND DERIVATIVES LLC
March 31, 2006 - July 9, 2007
LEK SECURITIES CORPORATION
January 3, 2005 - March 30, 2006
TD PRIME SERVICES LLC
August 11, 2004 - September 23, 2004
TD PRIME SERVICES LLC
March 31, 2004 - January 3, 2005
LEK SECURITIES CORPORATION
June 20, 2003 - July 9, 2007
LL PARTNERS, INC.
December 17, 2002 - February 5, 2003
LL PARTNERS, INC.
May 21, 2002 - September 20, 2002
LL PARTNERS, INC.
June 4, 2001 - August 30, 2001
LL PARTNERS, 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
(1/7/2016)
(1/7/2016)
(1/7/2016)
(1/7/2016)
(1/7/2016)
(1/7/2016)
(6/19/2019)
(1/7/2016)
(1/7/2016)
(1/7/2016)
(1/7/2016)
(1/7/2016)
(1/8/2016)
(1/7/2016)
(1/7/2016)
(1/7/2016)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/13/2006
Limited Representative-Equity Trader ExamSeries 25
Date: 8/5/2003
NYSE Trading Assistant ExaminationBOX 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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