Rory A. Mabin

NFSTX

New York, NY 10036

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CRD#: 5141036

Professional summary

Rory Alison Mabin, who also goes by Rory A Mabin, is a registered financial professional currently at NFSTX, LLC located in New York, New York.

Rory is registered as a RR (Registered Representative) and started their career in finance in 2006. Rory has worked at 6 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rory A Mabin

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 Rory Alison Mabin'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

May 13, 2019 - Present

NFSTX, LLC

Office #1: 4 Times Square 27th Floor, New York, NY 10036

CRD#: 172583

New York, NY

Past

June 18, 2018 - August 2, 2021

NPM SECURITIES, LLC

CRD#: 168469

NEW YORK, NY

Past

March 21, 2017 - December 13, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

May 11, 2009 - March 6, 2017

NYPPEX, LLC

CRD#: 47654

LANSING, MI

Past

June 12, 2007 - May 1, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

STRATFORD, CT

Past

June 12, 2007 - May 1, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

STRATFORD, CT

Past

August 18, 2006 - May 22, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WOODBRIDGE, CT

Past

July 7, 2006 - May 22, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WOODBRIDGE, CT

State Registrations and Notice Filings

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

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

Alabama
(2/14/2025)

Alaska
(2/14/2025)

Arizona
(2/14/2025)

Arkansas
(2/4/2025)

California
(1/15/2025)

Colorado
(1/15/2025)

Connecticut
(1/15/2025)

Delaware
(2/14/2025)

District of Columbia
(1/15/2025)

Florida
(1/15/2025)

Georgia
(2/14/2025)

Hawaii
(2/14/2025)

Idaho
(2/14/2025)

Illinois
(1/15/2025)

Indiana
(2/14/2025)

Iowa
(2/14/2025)

Kansas
(2/14/2025)

Kentucky
(2/14/2025)

Louisiana
(2/14/2025)

Maine
(2/14/2025)

Maryland
(2/14/2025)

Massachusetts
(1/15/2025)

Michigan
(2/14/2025)

Minnesota
(2/14/2025)

Mississippi
(2/14/2025)

Missouri
(1/23/2025)

Montana
(2/14/2025)

Nebraska
(2/14/2025)

Nevada
(2/14/2025)

New Hampshire
(2/14/2025)

New Jersey
(1/15/2025)

New Mexico
(2/14/2025)

New York
(1/15/2025)

North Carolina
(2/14/2025)

North Dakota
(2/14/2025)

Ohio
(2/18/2025)

Oklahoma
(2/14/2025)

Oregon
(2/14/2025)

Pennsylvania
(1/15/2025)

Rhode Island
(2/14/2025)

South Carolina
(2/14/2025)

South Dakota
(2/14/2025)

Tennessee
(2/14/2025)

Texas
(2/14/2025)

Utah
(2/14/2025)

Vermont
(2/14/2025)

Virginia
(2/14/2025)

Washington
(1/15/2025)

West Virginia
(2/14/2025)

Wisconsin
(2/14/2025)

Wyoming
(2/14/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/17/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/6/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/4/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NFSTX, LLC

NFSTX, LLC | SMTX, LLC

CRD#: 172583 / SEC#: , 8-69512

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

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Contact information

Main Address

4 Times Square 27th Floor, New York, NY 10036

Mailing Address

151 West 42 Street 27th Floor, New York, NY 10036

Phone number

(212) 381-6440

Established

Delaware since 07/23/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NASDAQ FUND SECONDARIES, LLC	100% OWNER OF NFSTX, LLC
CRANE, LINDA SALIERNO	PRINCIPAL FINANCIAL OFFICER	4374198
JOHNSON, LISA PATTON	CHIEF COMPLIANCE OFFICER	4168397
MABIN, RORY ALISON	CEO	5141036

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.

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Advisor Monitoring

Firm Stability Insights

Rory A. Mabin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rory Alison Mabin's CRS (Customer Relationship Summary).

Certified licenses

Experience

NPM SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

NYPPEX, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2006

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/6/2006

Series 24

Date: 2/4/2022

FINRA

Current Firm

NFSTX, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NFSTX, LLC

TRUST BUT VERIFY

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