LC
Luke F. Chicco
TRADITION SECURITIES AND DERIVATIVES LLC
Miami, FL 33131
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CRD#: 4838233
LC
Professional summary
Luke F Chicco is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in Miami, Florida.
Luke is registered as a RR (Registered Representative) and started their career in finance in 2006. Luke has worked at 5 firms and has passed the SIE and Series 7 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.
CRS (Client Relationship Summary) - BD
Click below to view Luke F Chicco's 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®
NoneExperience
Current
July 20, 2020 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 1395 Brickell Avenue Suite 750, Miami, FL 33131BD
CRD#: 28269
Miami, FL
Past
October 31, 2018 - May 22, 2020
XP INVESTMENTS US, LLC
BD
CRD#: 156691
New York, NY
Past
April 17, 2013 - November 22, 2017
GFI SECURITIES LLC
BD
CRD#: 19982
NEW YORK, NY
Past
July 13, 2009 - September 21, 2011
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
January 16, 2007 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
BD
CRD#: 29551
JERSEY CITY, NJ
Past
November 22, 2006 - January 19, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
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(6/15/2023)
Exams
General Industry/Product Exam
General Industry/Product Exam
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)
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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)
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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Company Information
TRADITION SECURITIES AND DERIVATIVES LLC
CRD#: 28269Miami, FL 33131TRUST BUT VERIFY
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