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Raymond Charles Baccala

Tradition Securities AND Derivatives LLC

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About Raymond Charles Baccala

Raymond Baccala is a financial professional with over 30 years of experience in the industry. Raymond is currently registered with Tradition Securities And Derivatives LLC, a firm based in New York, NY, and has been with the firm since 2018. Raymond has also been registered with other firms over the years including Tradition (Global Clearing) Inc., Tradition Berisford (Government Securities) Inc., MKI Securities Corp., and Salomon Brothers Inc. Raymond holds the following licenses: Series 7, Series 24, Series 63, Series 72, and SIE. Raymond is a licensed professional in 42 states across the country.

Firm Information

Raymond Baccala 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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Raymond Baccala’s Registration & Firm History

NY

09/16/1991 - Present

Tradition Securities AND Derivatives LLC (New York NY)

NY

08/06/1997 - 01/14/2008

TRADITION (GLOBAL CLEARING) INC. (NEW YORK NY)

NA

11/02/1989 - 09/19/1991

TRADITION BERISFORD (GOVERNMENT SECURITIES) INC.

NA

10/28/1986 - 02/18/1987

MKI SECURITIES CORP.

NA

09/03/1982 - 02/26/1985

SALOMON BROTHERS INC.

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Licenses & Designations

BC

Issued 06/10/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/12/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/21/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Raymond Charles Baccala.
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