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Joseph Paul

Tradition Securities AND Derivatives LLC

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About Joseph Paul

Joseph Paul is a financial advisor with over 20 years of experience in the financial services industry. Joseph currently holds a Series 7, Series 63, Series 66, and Series 24 license. Joseph is currently registered with Tradition Securities And Derivatives LLC. Previously, Joseph has held positions at J.P. Morgan Securities LLC, Wells Fargo Clearing Services, LLC, Scottrade, Inc., LCP Capital Corp., and Andrew Garrett, Inc.

Firm Information

Joseph Paul 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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Joseph Paul’s Registration & Firm History

NY

04/03/2023 - Present

Tradition Securities AND Derivatives LLC (New York NY)

NY

09/20/2022 - 04/02/2023

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NJ

05/07/2021 - 01/06/2022

WELLS FARGO CLEARING SERVICES, LLC (SPOTSWOOD NJ)

NY

08/09/2019 - 04/07/2021

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NJ

11/10/2000 - 03/07/2018

SCOTTRADE, INC. (MILLBURN NJ)

NY

03/09/1999 - 10/11/2000

LCP CAPITAL CORP. (STATEN ISLAND NY)

NY

12/10/1998 - 02/01/1999

ANDREW GARRETT, INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 05/18/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/18/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/21/2005

Series 24 - General Securities Principal Examination

BC

Issued 03/07/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/04/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

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 Joseph Paul.
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