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MS

Morgan Smet

FBN SECURITIES
BAY HARBOR ISLANDS, FL 33140
Some features on this profile are disabled
CRD#: 7143040
MS

Professional summary

Morgan Smet is a registered financial professional currently at FBN SECURITIES, INC. located in Bay Harbor Islands, Florida.

Morgan is registered as a RR (Registered Representative) and started their career in finance in 2019. Morgan has worked at 4 firms and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.

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 Morgan Smet'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

November 1, 2024 - Present

FBN SECURITIES, INC.

Office #1: 1111 Kane Concourse - Suite 501, Bay Harbor Islands, FL 33140
BD
CRD#: 18315
BAY HARBOR ISLANDS, FL
Past

July 7, 2022 - October 21, 2024

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

November 17, 2020 - December 1, 2020

WELLS FARGO PRIME SERVICES, LLC

BD
CRD#: 133068
New York, NY
Past

July 19, 2019 - June 21, 2022

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
New York, NY

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
(11/1/2024)
RR
Colorado
(11/1/2024)
RR
Connecticut
(11/1/2024)
RR
Delaware
(11/1/2024)
RR
Florida
(11/1/2024)
RR
Georgia
(11/1/2024)
RR
Illinois
(11/1/2024)
RR
Louisiana
(11/1/2024)
RR
Maryland
(11/1/2024)
RR
Massachusetts
(11/1/2024)
RR
Michigan
(11/1/2024)
RR
Minnesota
(11/1/2024)
RR
New Hampshire
(11/1/2024)
RR
New Jersey
(11/1/2024)
RR
New York
(11/1/2024)
RR
North Carolina
(11/1/2024)
RR
Ohio
(11/1/2024)
RR
Pennsylvania
(11/1/2024)
RR
South Carolina
(11/1/2024)
RR
Texas
(11/1/2024)
RR
Virginia
(11/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/9/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/25/2019
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/28/2019
Securities Industry Essentials 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#: 18315Bay Harbor Islands, FL 33140

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