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Perrick G. Marguet

TRADITION SECURITIES AND DERIVATIVES
New York, NY 10119
Some features on this profile are disabled
CRD#: 7193061
PM
Perrick Georges Moise MarguetTRADITION SECURITIES AND DERIVATIVES

Professional summary

Perrick Georges Moise Marguet, who also goes by Pierrick Georges Morse Marguet, Pierrick Marguet, Pierrick Georges Moise Marguet, is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.

Perrick is registered as a RR (Registered Representative) and started their career in finance in 2020. Perrick has worked at 2 firms and has passed the Series 63, Series 57TO, Series 3, Series 7TO and SIE exams.

Aliases

Pierrick Georges Morse Marguet | Pierrick Marguet | Pierrick Georges Moise Marguet

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 Perrick Georges Moise Marguet'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

November 16, 2022 - Present

TRADITION SECURITIES AND DERIVATIVES LLC

Office #1: 1 Penn Plaza Suite 1526, New York, NY 10119
BD
CRD#: 28269
New York, NY
Past

February 3, 2022 - May 2, 2022

EXANE, INC.

BD
CRD#: 41784
NEW YORK, NY
Past

February 20, 2020 - January 3, 2022

EXANE, INC.

BD
CRD#: 41784
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
California
(11/16/2022)
RR
Connecticut
(11/16/2022)
RR
Florida
(11/16/2022)
RR
Illinois
(11/16/2022)
RR
Massachusetts
(11/16/2022)
RR
Minnesota
(11/16/2022)
RR
New Jersey
(11/16/2022)
RR
New York
(11/16/2022)
RR
Pennsylvania
(11/16/2022)
RR
Puerto Rico
(11/16/2022)
RR
Texas
(8/21/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/13/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 2/16/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 8/8/2020
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/20/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/17/2020
Securities Industry Essentials 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)
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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)

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#: 28269New York, NY 10119

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