Thomas Vincent Faglio
Professional Summary
Thomas Vincent Faglio, who also goes by Thomas V Faglio, is a registered financial advisor currently at FBN SECURITIES, INC. located in Summit, New Jersey. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 87, Series 55, Series 7, Series 9, Series 10, Series 14, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas V Faglio
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
FBN SECURITIES, INC. | FLOOR BROKER NETWORK, INC.
Contact Information
Main Address
112 West 34th Street 17th Floor, New York, NY 10120Mailing Address
112 West 34th Street 18th Floor, New York, NY 10120Phone Number
(212) 571-2722Established
New York since 03/23/1983Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(2/22/2016)
(2/22/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Nov 2006About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 1999Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1994SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Vincent Faglio's CRS (Customer Relationship Summary).
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