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EM

Esther Moreno

FMSBONDS
Frisco, TX 75034
Some features on this profile are disabled
CRD#: 5587613
EM

Professional summary

Esther Moreno, who also goes by Esther Bailey, Esther Moreno Meza, is a registered financial professional currently at FMSBONDS, INC. located in Frisco, Texas.

Esther is registered as a RR (Registered Representative) and started their career in finance in 2023. Esther has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Esther Bailey | Esther Moreno Meza

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 Esther Moreno's CRS (Customer Relationship Summary).
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

June 30, 2023 - Present

FMSBONDS, INC.

Office #1: 5 Cowboys Way Suite 300-v, Frisco, TX 75034
BD
CRD#: 7793
Frisco, TX

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
Arizona
(5/23/2024)
RR
Colorado
(6/30/2023)
RR
Florida
(6/30/2023)
RR
Louisiana
(8/7/2023)
RR
Nevada
(5/23/2024)
RR
New Jersey
(8/4/2023)
RR
New York
(8/4/2023)
RR
North Carolina
(8/7/2023)
RR
Oklahoma
(8/7/2023)
RR
Texas
(8/4/2023)
RR
Washington
(8/4/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/4/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/30/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/14/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FI
FMSBONDS, INC.
FIRST MIAMI SECURITIES, INC. | TAX-FREE BONDS.COM | TAX-FREE BONDS | FMSBONDS.COM | FMSBONDS, INC. | FMS,INC. | FMS, INC. | FMS BONDS, INC. | FMS BONDS

CRD#: 7793 / SEC#: , 8-23280

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
4775 Technology Way, Boca Raton, FL 33431
Mailing Address
4775 Technology Way, Boca Raton, FL 33431
Phone number
(800) 741-1103
Established
Florida since 08/11/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FEINSILVER, PAULCHAIRMAN OF THE BOARD500389
KLOTZ, JAMES ARNOLDPRESIDENT500438
GUERRISE, MATTHEW ANTHONYCHIEF COMPLIANCE OFFICER2673770
PARKER, ANNE MICHELLESROP AND CROP2226034
SELIGSOHN, MICHAEL STEVENCHIEF OPERATIONS OFFICER, VICE PRESIDENT2189850
SWINARSKI, THEODORE ANTHONYSENIOR VICE PRESIDENT - TRADING SUPERVISOR1584451

Disclosures

Regulatory Event11
Arbitration2

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

FMSBONDS, INC.

CRD#: 7793Frisco, TX 75034

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