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Melissa A. Caro

CRD#: 2684135
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MC
Melissa Ayn Caro

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Melissa Ayn Caro, who also goes by Melissa Ann Caro, was a registered financial professional .

Melissa is a previously registered financial professional and started their career in finance in 1996. Melissa had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melissa Ann Caro

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 12, 2013 - May 17, 2025

FBN SECURITIES, INC.

BD
CRD#: 18315
NY, NY
Past

December 22, 2008 - March 25, 2013

COWEN SECURITIES LLC

BD
CRD#: 23510
NEW YORK, NY
Past

November 5, 2007 - December 15, 2008

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

August 10, 2007 - November 5, 2007

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

November 14, 2006 - August 10, 2007

COLLINS STEWART INC.

BD
CRD#: 47414
NEW YORK, NY
Past

January 8, 2005 - December 5, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

June 14, 2004 - January 14, 2005

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY
Past

September 29, 2003 - June 24, 2004

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY
Past

August 25, 1999 - September 27, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 4, 1996 - September 3, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/6/1996
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: 2/12/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/5/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/3/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/20/2001
General Securities Principal Examination

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)

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#: 18315

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