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About Tradition Asiel

Tradition Asiel Securities Inc. was originally formed in 2000 when Tradition Government Securities --a subsidiary of one of the largest global brokerage firms, Compagnie Financiere Tradition-- joined forces with Asiel & Co. LLC, one of the oldest members of the New York Stock Exchange. Tradition Asiel combines Tradition’s stability and financial assets with the strength of Asiel & Co.’s long-established market presence. The result is a broker-dealer firm that can offer clients access to deep liquidity pools, best execution, a diversified range of services and sophisticated equity research.


About Asiel & Co.

In 1878, the brokerage firm of Asiel & Co. was established. A long-time member of NYSE, Asiel & Co. gained momentum in the equity, corporate bond and preferred stock arenas. When it merged with Tradition Government Securities in 2000 to form Tradition Asiel Securities, the company was hundreds of employees and clients strong. Tradition Asiel Securities Inc. is a registered broker-dealer with the Securities and Exchange Commission (SEC) and is a member of the New York Stock Exchange, Inc. (NYSE), the Financial Industry Regulatory Authority (FINRA) (www.finra.org) and the Emerging Markets Traders Association. It is a broker of United States Government Treasuries and repurchase agreements, emerging market bonds and repurchase agreements, mortgage backed securities, corporate fixed income securities, money market instruments, equity securities, equity and index options, and municipal bonds.

About Compagnie Financiere Tradition 

Compagnie Financière Tradition (CFT) is one of the world's largest intradealer brokers for over the counter (OTC) financial (money markets, bond markets, interest rate, currency and credit derivatives, equity derivatives, exchange-traded products) and commodity-related products (energy, precious metals, pulp and paper, etc.).

Headquatered in Lausanne, Switzerland, CFT has a presence in 27 countries.  With over 2,450 employees, CFT's clients include global banks, financial institutions, local authorities, and major industrial and commercial corporations.  CFT's shares have been listed on the Swiss Stock Exchange since 1973 and on the third compartment of the Frankfurt Stock Exchange since 1999.

CFT is a subsidary of VIEL & Cie (www.viel.com), which is based in Paris, France, and is continental Europe's top financial brokerage firm.

Tradition’s 2004 Annual Report Tradition’s 2004 Annual Report in PDF format.

Tradition’s 2005 Annual Report Tradition’s 2005 Annual Report in PDF format.

Tradition’s 2006 Annual Report Tradition’s 2006 Annual Report in PDF format.

Tradition’s 2007 Annual Report Tradition’s 2007 Annual Report in PDF format.

Tradition’s 2009 Annual Report Tradition’s 2009 Annual Report in PDF format.

Tradition's Business Continuity Plan

Tradition's Business Continuity Plan Tradition's Business Continuity Plan in PDF format.

Tradition Asiel MSRB Rule G-43 Policies

Tradition Asiel MSRB Rule G-43 Policies Tradition Asiel MSRB Rule G-43 Policies in PDF format.

Anti-Money Laundering Statement

Anti-Money Laundering Statement Anti-Money Laundering Statement in PDF format.


Required SEC Posting

Posted Quarterly Report Pursuant to SEC Rule 606

Tradition Asiel's Rule 606 Report formerly Rule 11Ac1-6 (hosted by The Transaction Auditing Group)

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      New York Office:  255 Greenwich Street New York, NY 10007     212.791.4500     800.221.4348     info@tradition-ny.com
 
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