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Paul Fiorita

Tradition Securities AND Derivatives LLC

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About Paul Fiorita

Paul Fiorita is a financial professional with over 25 years of experience in the industry. Paul is currently registered with Tradition Securities And Derivatives LLC. Paul holds FINRA Series 7, 24, and 63 licenses, as well as the SIE exam. Paul has also been approved by regulators to offer securities in 10 states, including California, Florida, Illinois, Massachusetts, New Jersey, New York, North Carolina, South Carolina, and Washington. Paul has worked for several other firms during their career, including Standard Credit Securities Inc., Newedge USA, LLC, SG Cowen Securities Corporation, and Cowen & Co.

Firm Information

Paul Fiorita 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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Paul Fiorita’s Registration & Firm History

NY

01/02/2014 - Present

Tradition Securities AND Derivatives LLC (New York NY)

NY

02/17/2009 - 09/25/2014

STANDARD CREDIT SECURITIES INC. (NEW YORK NY)

NY

08/01/2000 - 03/16/2009

NEWEDGE USA, LLC (NEW YORK NY)

NY

07/01/1998 - 08/01/2000

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NY

08/29/1996 - 07/01/1998

COWEN & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/17/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/16/2015

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Paul Fiorita.
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