Tradition Securities and Derivatives LLC

Broker-DealerFINRA Member
Total AUM
—
Advisory reps
169
Avg account
$0

Firm details

Headquarters
New York, New York
CRD number
28269
Registered since
September 6, 1991

Firm profile

FINTRX

Overview

Tradition Securities and Derivatives LLC is organized as a limited liability company with domestic ownership and individual ownership characteristics. Publicly available records classify the firm as unclassified and provide limited detail on its business or advisory activities, fee schedules, and client segments. The firm does not identify itself as a capital allocator, does not flag active ESG investing, and is not listed as a multi-state or pension-focused adviser. Regulatory and affiliation disclosures in the source are minimal; the firm has not provided a description of its core services, investment approach, or relationships with other advisers or broker-dealers in the material reviewed.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 5
  • Larry Rosenshein

    COOCRD 1534635

  • Judith Ricciardi

    CFOCRD 2260346

  • Michael Martuscello

    Michael Martuscello

    Chief Compliance OfficerCRD 5359170

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Contacts

3 of 164
  • Raymond Baccala

    EVPCRD 1000495

  • Peter Moseley

    BrokerCRD 1049431

  • Michael Grgich

    BrokerCRD 1085280

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
32 Old Slip
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth