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Richard R Brusselback

Tradition Securities AND Derivatives LLC

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About Richard R Brusselback

Richard Brusselback is a registered representative of Tradition Securities And Derivatives LLC. Richard has over 20 years of experience in the financial services industry. Richard has held a variety of roles at various firms, including UBS Securities LLC and Credit Suisse Securities (USA) LLC. Richard holds the Series 3, 4, 7, 55, 57TO, and 63 licenses. Richard is licensed in several states, including California, Connecticut, Florida, Illinois, Massachusetts, Minnesota, New Jersey, New York, Pennsylvania, Puerto Rico, Tennessee, Texas, and Washington.

Firm Information

Richard Brusselback 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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Richard Brusselback’s Registration & Firm History

NY

04/25/2022 - Present

Tradition Securities AND Derivatives LLC (New York NY)

NY

04/11/2022 - 04/11/2022

TRADITION SECURITIES AND DERIVATIVES LLC (NEW YORK NY)

NY

12/01/2015 - 01/28/2022

EXANE, INC. (NEW YORK NY)

NY

08/12/2010 - 10/14/2015

UBS SECURITIES LLC (NEW YORK NY)

NY

10/07/2002 - 08/11/2010

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/09/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/09/2009

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/17/2002

Series 3 - National Commodity Futures Examination

BC

Issued 10/04/2002

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 Richard R Brusselback.
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