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FIRM PROFILE
Overview
TRADITION SECURITIES AND DERIVATIVES LLC is located at 32 Old Slip 28th Floor, New York, NY 10005 and was first established at New York, Delaware in 03/30/1989. After operating for 37 years, TRADITION SECURITIES AND DERIVATIVES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of TRADITION SECURITIES AND DERIVATIVES LLC’s clients are individuals and 0% of their clients are high net worth individuals. TRADITION SECURITIES AND DERIVATIVES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at TRADITION SECURITIES AND DERIVATIVES LLC are registered to handle securities or provide financial advice. The firm has 32 disclosures, 32 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access TRADITION SECURITIES AND DERIVATIVES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at TRADITION SECURITIES AND DERIVATIVES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for TRADITION SECURITIES AND DERIVATIVES LLC Comes From
Understanding the Statistics for TRADITION SECURITIES AND DERIVATIVES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
32 Old Slip 28th Floor, New York, NY 10005
32 Old Slip 28th Floor, New York, NY 10005
Medium
(212) 791-4500
Delaware since 03/30/1989
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at TRADITION SECURITIES AND DERIVATIVES LLC
Frank Anthony Calcutta
Thomas Salvatore Corona
Andrew Vissicchio III
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