Fausto R. Serrano
Professional summary
Fausto Raoul Serrano is a registered financial professional currently at BONDS.COM LLC located in New York, New York and TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.
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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Fausto Raoul Serrano's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 26, 2025 - Present
BONDS.COM LLC
Office #1: 32 Old Slip 34th Floor, New York, NY 10005August 26, 2025 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 32 Old Slip 28th Floor, New York, NY 10005June 30, 2023 - May 8, 2025
TP ICAP GLOBAL MARKETS AMERICAS LLC
June 17, 2022 - January 28, 2025
LIQUIDNET, INC.
April 4, 2017 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
April 4, 2012 - September 30, 2016
BGC FINANCIAL, L.P.
January 30, 2007 - January 5, 2012
BROKERTEC AMERICAS LLC
June 9, 2003 - October 2, 2006
G. A. REPPLE & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/26/2025)
(10/1/2025)
(8/26/2025)
(10/1/2025)
Exams
BOX 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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