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ERIC MICHAEL EARNHARDT NFA ID: 0221779

Current Status
TFS DERIVATIVES LLC 
• PRINCIPAL APPROVED 
TFS ENERGY FUTURES LLC 
• PRINCIPAL APPROVED 
• SWAP ASSOCIATED PERSON APPROVED 
• ASSOCIATED PERSON REGISTERED 
• NFA ASSOCIATE MEMBER APPROVED 
TFS ICAP LLC 
• PRINCIPAL APPROVED 
TRADITION SECURITIES AND DERIVATIVES INC 
• ASSOCIATED PERSON REGISTERED 
• NFA ASSOCIATE MEMBER APPROVED 
• PRINCIPAL APPROVED 
Regulatory Actions
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NFA Arbitration Decisions
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CFTC Reparations Cases
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Security Futures Proficiency Training
 Description Date
SECURITY FUTURES TRAINING COMPLETED12/18/2002
SECURITY FUTURES PRINCIPAL TRAINING COMPLETED12/19/2002
History
 Status Effective Date
LASSER MARSHALL INC 
• ASSOCIATED PERSON WITHDRAWN 05/30/1990 
• NFA ASSOCIATE MEMBER WITHDRAWN 05/30/1990 
• ASSOCIATED PERSON REGISTERED 06/01/1989 
• NFA ASSOCIATE MEMBER APPROVED 04/21/1989 
• ASSOCIATED PERSON TEMPORARY LICENSE 04/21/1989 
TFS DERIVATIVES LLC 
• ASSOCIATED PERSON WITHDRAWN 04/01/2016 
• NFA ASSOCIATE MEMBER WITHDRAWN 04/01/2016 
• PRINCIPAL APPROVED 03/15/2013 
• ASSOCIATED PERSON REGISTERED 01/07/2010 
• NFA ASSOCIATE MEMBER APPROVED 01/07/2010 
• ASSOCIATED PERSON TEMPORARY LICENSE 01/07/2010 
TFS ENERGY FUTURES LLC 
• PRINCIPAL APPROVED 12/27/2012 
• SWAP ASSOCIATED PERSON APPROVED 12/27/2012 
• ASSOCIATED PERSON REGISTERED 01/07/2010 
• ASSOCIATED PERSON TEMPORARY LICENSE 01/07/2010 
• NFA ASSOCIATE MEMBER APPROVED 01/07/2010 
TFS ICAP LLC 
• PRINCIPAL APPROVED 10/08/2012 
THOMASLLOYD GLOBAL ASSET MANAGEMENT C 
• PRINCIPAL WITHDRAWN 04/25/2009 
• PRINCIPAL APPROVED 01/16/2009 
• PRINCIPAL PENDING 01/05/2009 
TRADITION SECURITIES AND DERIVATIVES INC 
• ASSOCIATED PERSON REGISTERED 04/01/2016 
• NFA ASSOCIATE MEMBER APPROVED 04/01/2016 
• PRINCIPAL APPROVED 11/06/2015 
TRADITION SECURITIES AND FUTURES INC 
• PRINCIPAL WITHDRAWN 11/20/2013 
• NFA ASSOCIATE MEMBER WITHDRAWN 11/20/2013 
• ASSOCIATED PERSON WITHDRAWN 11/20/2013 
• PRINCIPAL APPROVED 09/27/2012 
• PRINCIPAL WITHDRAWN 07/02/2012 
• PRINCIPAL APPROVED 05/17/2010 
• ASSOCIATED PERSON REGISTERED 01/07/2010 
• NFA ASSOCIATE MEMBER APPROVED 12/18/2009 
• ASSOCIATED PERSON TEMPORARY LICENSE 12/18/2009 
• ASSOCIATED PERSON PENDING 11/10/2009 
• NFA ASSOCIATE MEMBER PENDING 11/10/2009 
 
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