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JR

Joseph A. Rossi

FBN SECURITIES
Lower Gwynedd, PA 19002
Some features on this profile are disabled
CRD#: 4165537
JR

Professional summary

Joseph Anthony Rossi is a registered financial professional currently at FBN SECURITIES, INC. located in Lower Gwynedd, Pennsylvania.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 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) - BD

Click below to view Joseph Anthony Rossi'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

January 6, 2014 - Present

FBN SECURITIES, INC.

Office #1: 600 North Bethlehem Pike, Lower Gwynedd, PA 19002
BD
CRD#: 18315
Lower Gwynedd, PA
Past

March 7, 2013 - January 7, 2014

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

March 25, 2009 - March 25, 2013

COWEN SECURITIES LLC

BD
CRD#: 23510
NEW YORK, NY
Past

April 4, 2007 - March 23, 2009

NATIXIS SECURITIES NORTH AMERICA INC.

BD
CRD#: 28722
NEW YORK, NY
Past

January 9, 2006 - April 9, 2007

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 21, 2004 - November 4, 2005

MILLER TABAK + CO., LLC

BD
CRD#: 47293
NEW YORK, NY
Past

January 16, 2001 - April 17, 2001

SIG BROKERAGE, LP

BD
CRD#: 100400
NEW YORK, NY
Past

September 20, 2000 - June 2, 2004

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

April 7, 2000 - June 30, 2000

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH

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
(1/6/2014)
RR
Connecticut
(1/6/2014)
RR
Florida
(1/6/2014)
RR
Georgia
(2/14/2014)
RR
Illinois
(1/6/2014)
RR
Massachusetts
(5/24/2023)
RR
Minnesota
(10/13/2024)
RR
New Jersey
(1/6/2014)
RR
New York
(1/6/2014)
RR
Pennsylvania
(1/6/2014)
RR
Puerto Rico
(6/8/2020)
RR
Texas
(1/6/2014)
RR
Wisconsin
(1/6/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/2000
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 55
Date: 3/22/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/5/2000
General Securities Representative 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#: 18315Lower Gwynedd, PA 19002

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