Doyle O. Delaney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Doyle Olen Delaney, who also goes by Doyle O Delaney, Duke Delaney, was a registered financial professional .
Doyle is a previously registered financial professional and started their career in finance in 1976. Doyle had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2014 - June 17, 2015
TRADITION SECURITIES AND DERIVATIVES LLC
July 11, 2006 - February 24, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
February 4, 2002 - June 6, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
November 29, 2000 - June 6, 2001
BURLINGTON CAPITAL MARKETS INC.
November 18, 1997 - July 28, 1999
ICAP SECURITIES USA LLC
March 17, 1997 - November 5, 1997
INTERCAPITAL GOVERNMENT SECURITIES INC.
July 27, 1987 - February 4, 1997
ICAP SECURITIES USA LLC
March 22, 1984 - July 26, 1984
GELDERMANN SECURITIES INC.
February 3, 1984 - March 22, 1984
GELDERMANN SECURITIES, INC.
February 2, 1981 - November 15, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 19, 1977 - March 26, 1979
DOUGLAS STEWART INCORPORATED
September 22, 1976 - August 11, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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