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William Frederick Aston-reese

Tradition Securities AND Derivatives LLC

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About William Frederick Aston-reese

William Frederick Aston-reese is a registered representative with Tradition Securities And Derivatives LLC. William has been in the industry since 1987 and has held previous roles with firms including Tullett Prebon Financial Services LLC, Tradition Asiel Securities Inc., Scotia Capital (USA) Inc., Sanwa Universal Securities Co., Sanwa Securities (USA) Co., L.P., and Prudential-Bache Securities Inc. William holds Series 7, Series 63, and SIE licenses. William is currently registered in 15 states including California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Massachusetts, New Jersey, New York, Ohio, Pennsylvania, Texas, and Virginia.

Firm Information

William Aston-reese 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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William Aston-reese’s Registration & Firm History

NY

09/03/2015 - Present

Tradition Securities AND Derivatives LLC (New York NY)

NY

03/17/2015 - 07/31/2015

TULLETT PREBON FINANCIAL SERVICES LLC (NEW YORK NY)

NY

04/15/2002 - 03/17/2015

TRADITION ASIEL SECURITIES INC. (NEW YORK NY)

NY

10/28/1998 - 04/08/2002

SCOTIA CAPITAL (USA) INC. (NEW YORK NY)

NY

03/22/1991 - 08/03/1998

SANWA UNIVERSAL SECURITIES CO. (NEW YORK NY)

NY

07/24/1990 - 08/03/1998

SANWA SECURITIES (USA) CO., L.P. (NEW YORK NY)

NY

05/21/1987 - 05/16/1990

PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/17/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/16/1987

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 William Frederick Aston-reese.
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