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LM

Louis E. Morales

Some features on this profile are disabled
CRD#: 339491
LM

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.

Louis Edward Morales was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 1969. Louis had worked at 13 firms and has passed the Series 63, PC, Series 000, Series 1, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 4, 2010 - November 14, 2012

FBN SECURITIES, INC.

BD
CRD#: 18315
NEW YORK, NY
Past

July 22, 2008 - March 9, 2010

VICTOR SECURITIES, LLC

BD
CRD#: 146664
ENGLEWOOD, NJ
Past

January 1, 2007 - September 12, 2008

NEWEDGE USA, LLC

BD
CRD#: 36118
PHILADELPHIA, PA
Past

August 1, 2006 - January 3, 2007

FIMAT PREFERRED LLC

BD
CRD#: 135680
PHILADELPHIA, PA
Past

June 5, 2006 - October 10, 2006

MCNAMARA TRADING COMPANY

BD
CRD#: 31466
PHILADELPHIA, PA
Past

June 25, 1990 - April 4, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 24, 1980 - March 12, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

March 10, 1978 - April 20, 1980

PERSHING LLC

BD
CRD#: 7560
Past

February 24, 1978 - March 10, 1978

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

BD
CRD#: 7554
Past

August 24, 1976 - February 24, 1978

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

BD
CRD#: 6458
Past

November 14, 1974 - August 21, 1976

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

April 11, 1972 - December 8, 1974

STONE & WEBSTER SECURITIES CORPORATION

BD
CRD#: 794
Past

October 21, 1969 - April 20, 1972

BUTCHER & SHERRERD

BD
CRD#: 119

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: 4/15/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 7/13/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 5/17/1965
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 5/17/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/2/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/30/2001
Registered Options 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)

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#: 18315

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