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LS

Louis J. Scotti

FBN SECURITIES
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 2453565
LS

Professional summary

Louis James Scotti, who also goes by Louis Scotti, is a registered financial professional currently at FBN SECURITIES, INC. located in Summit, New Jersey.

Louis is registered as a RR (Registered Representative) and started their career in finance in 1995. Louis has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Louis Scotti

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis James Scotti's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 9, 2015 - Present

FBN SECURITIES, INC.

Office #1: 34 Maple Street - Suite 201, Summit, NJ 07901
BD
CRD#: 18315
SUMMIT, NJ
Past

November 6, 2013 - June 10, 2015

TD PRIME SERVICES LLC

BD
CRD#: 1914
NEW YORK, NY
Past

January 27, 2012 - November 6, 2013

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
NEW YORK, NY
Past

May 1, 2008 - July 18, 2011

MOMENTUM TRADING PARTNERS, LLC

BD
CRD#: 140264
GREAT NECK, NY
Past

July 6, 2005 - May 28, 2008

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

July 8, 2003 - July 8, 2005

REFCO SECURITIES, LLC

BD
CRD#: 14094
NEW YORK, NY
Past

March 29, 2002 - July 3, 2003

ABSOLUTE RETURN ADVISORS, LTD.

BD
CRD#: 42938
MANCHESTER CENTER, VT
Past

February 14, 1995 - August 16, 1999

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/15/2016)
RR
Colorado
(5/15/2020)
RR
Connecticut
(6/9/2015)
RR
Florida
(8/15/2016)
RR
Illinois
(6/9/2015)
RR
Louisiana
(3/6/2017)
RR
Michigan
(8/15/2016)
RR
New Jersey
(6/9/2015)
RR
New York
(6/9/2015)
RR
Ohio
(8/15/2016)
RR
Oregon
(8/15/2016)
RR
Pennsylvania
(1/16/2020)
RR
Tennessee
(9/8/2016)
RR
Texas
(8/16/2021)
RR
Washington
(8/15/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/13/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 2/12/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/24/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/2/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

FS
FBN SECURITIES, INC.
FBN SECURITIES, INC. | FLOOR BROKER NETWORK, INC.

CRD#: 18315 / SEC#: , 8-30461

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
112 West 34th Street 17th Floor, New York, NY 10120
Mailing Address
112 West 34th Street 18th Floor, New York, NY 10120
Phone number
(212) 571-2722
Established
New York since 03/23/1983
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NASO, GREGORY VINCENTMANAGING DIRECTOR, FINOP4399720
NASO, MICHAEL ANTHONYGENERAL SECURITIES PRINCIPAL HEAD OF TRADING & SALES, SECRETARY4412307
NASO, ANTHONY JOHNMANAGING DIRECTOR6131968
NASO, DENNIS MICHAELSHAREHOLDER1547034
FAGLIO, THOMAS VINCENTCHIEF COMPLIANCE OFFICER1106139

Disclosures

Regulatory Event3

Red Flags

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.

Company Information

FBN SECURITIES, INC.

CRD#: 18315Summit, NJ 07901

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