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John William Whitaker

Tradition Securities AND Derivatives LLC

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About John William Whitaker

John Whitaker is a financial professional with over 20 years of experience in the securities industry. John is currently registered with Tradition Securities And Derivatives LLC, a FINRA-registered broker-dealer, as a General Securities Representative. John is also a licensed principal and holds the Series 24 license. He is a member of the Financial Industry Regulatory Authority (FINRA) and is licensed in several states including California, Florida, Illinois, Minnesota, New York, Texas, Washington, and Wisconsin. Prior to joining Tradition Securities And Derivatives LLC, John was employed by AGENCY TRADING GROUP, INC., and NAVILLUS SECURITIES, INC.

Firm Information

John Whitaker is currently registered with Tradition Securities AND Derivatives LLC. Tradition Securities AND Derivatives LLC is a Limited Liability Company formed on March 30, 1989. The firm is registered with the SEC and in 44 states.

Not reported

Assets Under Management

Not reported

Total Clients

73

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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John Whitaker’s Registration & Firm History

MN

09/06/2019 - Present

Tradition Securities AND Derivatives LLC (Wayzata MN)

MN

09/23/2003 - 09/11/2019

AGENCY TRADING GROUP, INC. (WAYZATA MN)

MN

04/04/2019 - 05/13/2019

TRADITION SECURITIES AND DERIVATIVES INC. (wayzata MN)

PA

01/16/2001 - 10/23/2003

NAVILLUS SECURITIES, INC. (WEST CONSHOHOCKEN PA)

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Licenses & Designations

BC

Issued 01/26/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/21/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/06/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/13/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for John William Whitaker.
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