Posted SEC Rule 606 reports on FINRA 606 Disclosure Portal.

 

•  
  TSD 2024-01-01_2024-03-31 606a1 Held Compliance Report (PDF | XML)
•  
  TSD 2023-10-01_2023-12-31 606a1 Held Compliance Report (PDF | XML)
•  
  TSD 2023-07-01_2023-09-30 606a1 Held Compliance Report (PDF | XML)
•  
  TSD 2023-04-01_2023-06-30 606a1 Held Compliance Report (PDF | XML)
•  
  TSD 2023-01-01_2023-03-31 606a1 Held Compliance Report (PDF | XML)

 

Tradition Securities and Derivatives LLC is a member of NFA / FINRA / MSRB / SIPC / Tradition SEF LLC.  / NASDAQ / NasdaqPHLX / NasdaqISE / NasdaqGEMX and the major exchanges.  

Tradition Securities and Derivatives, LLC is an affiliate of Tradition SEF LLC and other Tradition Group entities. For a list of Tradition Group affiliates, please refer to the website and latest annual report for Compagnie Financiere Tradition SA.

Check the background of our firm on FINRA's BrokerCheck.