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BF

Brian M. Fraioli

MMM SECURITIES LLC
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 2792474
BF

Professional summary

Brian Michael Fraioli, who also goes by Brian Michael Fraioli Mr., is a registered financial professional currently at MMM SECURITIES LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 13 firms and has passed the Series 63, Series 99TO, Series 82TO, Series 57TO, SIE, Series 19, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Michael Fraioli Mr.

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 Brian Michael Fraioli'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

November 18, 2025 - Present

MMM SECURITIES LLC

Office #1: 30 Wall Street Suite 825, New York, NY 10005
BD
CRD#: 318021
NEW YORK, NY
Past

September 25, 2024 - November 1, 2024

MMM SECURITIES LLC

BD
CRD#: 318021
NEW YORK, NY
Past

May 8, 2023 - November 10, 2025

ALTO SECURITIES, LLC

BD
CRD#: 318536
Nashville, TN
Past

June 1, 2021 - April 14, 2023

SECURITIZE MARKETS, LLC

BD
CRD#: 283256
Austin, TX
Past

July 18, 2016 - June 3, 2021

LUCID CAPITAL MARKETS, LLC

BD
CRD#: 140345
New York, NY
Past

February 25, 2013 - October 20, 2015

LIME TRADING CORP

BD
CRD#: 11826
NEW YORK, NY
Past

February 16, 2012 - February 1, 2013

SPEEDTRADER, INC

BD
CRD#: 107403
WHITE PLAINS, NY
Past

May 9, 2006 - February 28, 2012

MASTERTRADER.COM

BD
CRD#: 47883
WHITE PLAINS, NY
Past

July 21, 2005 - September 12, 2005

SUNGARD INSTITUTIONAL BROKERAGE INC.

BD
CRD#: 8509
GENEVA, IL
Past

January 2, 2001 - February 5, 2001

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

November 15, 2000 - August 4, 2003

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

April 27, 2000 - January 2, 2001

GLOBAL CAPITAL MARKETS, LLC

BD
CRD#: 16191
MELVILLE, NY
Past

September 21, 1999 - March 14, 2000

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
NEW YORK, NY
Past

July 10, 1997 - January 20, 1998

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, 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
(11/18/2025)
RR
Florida
(11/18/2025)
RR
Maryland
(11/18/2025)
RR
New Jersey
(11/18/2025)
RR
New York
(11/18/2025)
RR
Tennessee
(12/8/2025)
RR
Texas
(11/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
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 19
Date: 2/23/2017
NYSE Floor Clerk - Equities Examination
General Industry/Product Exam
RR
Series 55
Date: 6/14/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/9/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 9/30/2016
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/24/2014
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MMM SECURITIES LLC
MMM SECURITIES LLC | THINKTANKTWO SECURITIES LLC

CRD#: 318021 / SEC#: , 8-70865

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

Main Address
30 Wall St Suite 825, New York, NY 10005
Mailing Address
30 Wall St Suite 825, New York, NY 10005
Phone number
(212) 584-0552
Established
Florida since 11/19/2021
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (7 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#
MONARK MARKETS, INC.SOLE MEMBER AND MANAGER
FRAIOLI, BRIAN MICHAELCHIEF EXECUTIVE OFFICER2792474
KORNBERG, ALONACHIEF COMPLIANCE OFFICER6990646
ROTHENBERG, SHARI PFINOP6590875

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

MMM SECURITIES LLC

CRD#: 318021New York, NY 10005

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