Melissa A. Caro

Some features on this profile are disabled

CRD#: 2684135

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"?

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.

CRD#: 18315

NY, NY

Past

December 22, 2008 - March 25, 2013

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

November 5, 2007 - December 15, 2008

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

August 10, 2007 - November 5, 2007

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

November 14, 2006 - August 10, 2007

COLLINS STEWART INC.

CRD#: 47414

NEW YORK, NY

Past

January 8, 2005 - December 5, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

June 14, 2004 - January 14, 2005

BURLINGTON CAPITAL MARKETS INC.

CRD#: 26991

NEW YORK, NY

Past

September 29, 2003 - June 24, 2004

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063

NEW YORK, NY

Past

August 25, 1999 - September 27, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 4, 1996 - September 3, 1999

UBS FINANCIAL SERVICES INC.

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

Series 63

Date: 3/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/12/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 11/5/1998

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/3/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/20/2001

General Securities Principal Examination

Current Firm

FBN SECURITIES, INC.

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

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Name	Position	CRD#
NASO, GREGORY VINCENT	MANAGING DIRECTOR, FINOP	4399720
NASO, MICHAEL ANTHONY	GENERAL SECURITIES PRINCIPAL HEAD OF TRADING & SALES, SECRETARY	4412307
NASO, ANTHONY JOHN	MANAGING DIRECTOR	6131968
NASO, DENNIS MICHAEL	SHAREHOLDER	1547034
FAGLIO, THOMAS VINCENT	CHIEF COMPLIANCE OFFICER	1106139

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Melissa A. Caro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COWEN SECURITIES LLC

HAPOALIM SECURITIES USA, INC.

CANACCORD GENUITY SECURITIES LLC

COLLINS STEWART INC.

TULLETT PREBON FINANCIAL SERVICES LLC

BURLINGTON CAPITAL MARKETS INC.

NEWOAK CAPITAL MARKETS LLC

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/6/1996

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/12/2005

Series 55

Date: 11/5/1998

Series 7

Date: 1/3/1996

Series 24

Date: 6/20/2001

Current Firm

FBN SECURITIES, INC.

Contact information

FINRA licenses (36 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FBN SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors