AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
FS

Fausto R. Serrano

TRADITION SECURITIES AND DERIVATIVES LLC
Jupiter, FL
Some features on this profile are disabled
CRD#: 4664520
FS

Professional summary

Fausto Raoul Serrano is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in Jupiter, Florida.

Fausto is registered as a RR (Registered Representative) and started their career in finance in 2003. Fausto has worked at 8 firms and has passed the Series 63, Series 3, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Fausto Raoul Serrano's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 26, 2025 - Present

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
Jupiter, FL
Past

August 26, 2025 - January 2, 2026

BONDS.COM LLC

BD
CRD#: 43875
NEW YORK, NY
Past

June 30, 2023 - May 8, 2025

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
BOCA RATON, FL
Past

June 17, 2022 - January 28, 2025

LIQUIDNET, INC.

BD
CRD#: 103987
NEW YORK, NY
Past

April 4, 2017 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
BOCA RATON, FL
Past

April 4, 2012 - September 30, 2016

BGC FINANCIAL, L.P.

BD
CRD#: 19801
Palm Beach Gardens, FL
Past

January 30, 2007 - January 5, 2012

BROKERTEC AMERICAS LLC

BD
CRD#: 47477
JERSEY CITY, NJ
Past

June 9, 2003 - October 2, 2006

G. A. REPPLE & COMPANY

BD
CRD#: 17486
MAITLAND, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(8/26/2025)
RR
Illinois
(10/1/2025)
RR
New York
(8/26/2025)
RR
North Carolina
(10/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/4/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/5/2025
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/5/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/7/2023
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TS
TRADITION SECURITIES AND DERIVATIVES LLC
BRIDGEVIEW EXECUTION SERVICES | TSF | TRADITION SECURITIES AND FUTURES | TRADITION SECURITIES AND DERIVATIVES, INC. | TRADITION SECURITIES AND DERIVATIVES LLC | TRADITION SECURITIES AND DERIVATIVES INC. | 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

CRD#: 28269 / SEC#: , 8-43559

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
32 Old Slip 28th Floor, New York, NY 10005
Mailing Address
32 Old Slip 28th Floor, New York, NY 10005
Phone number
(212) 791-4500
Established
Delaware since 03/30/1989
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRADITION AMERICA HOLDINGS INC. ("TAH")MEMBER
BACCALA, RAYMOND CHARLESPRESIDENT1000495
BRISEBOIS, FRANCOISMANAGER6613329
GANGI, JOHN JOSEPHPRINCIPAL FINANCIAL OFFICER2909843
LEIBOWITZ, MICHAEL SAUL MR.MANAGER5187937
LUDERS, MICHAEL CHRISTIANCHIEF COMPLIANCE OFFICER - FIXED INCOME4628733
MEROLA, DAVID SCOTTCHIEF COMPLIANCE OFFICER - EQUITIES/OPTIONS3154976
RICCIARDI, JUDITH ANNMANAGER, CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, FINOP, PRINCIPAL OPERATIONS OFFICER2260346
ROSENSHEIN, LARRY NMNMANAGER1534635
WOSTYN, WILLIAM PIERREMANAGER5608164

Disclosures

Regulatory Event32

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.

Company Information

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269Jupiter, FL

TRUST BUT VERIFY

Monitor Fausto Serrano

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.