Brian M. Fraioli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Michael Fraioli, who also goes by Brian Michael Fraioli Mr., was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2024 - November 1, 2024
MMM SECURITIES LLC
May 8, 2023 - November 10, 2025
ALTO SECURITIES, LLC
June 1, 2021 - April 14, 2023
SECURITIZE MARKETS, LLC
July 18, 2016 - June 3, 2021
LUCID CAPITAL MARKETS, LLC
February 25, 2013 - October 20, 2015
LIME TRADING CORP
February 16, 2012 - February 1, 2013
SPEEDTRADER, INC
May 9, 2006 - February 28, 2012
MASTERTRADER.COM
July 21, 2005 - September 12, 2005
SUNGARD INSTITUTIONAL BROKERAGE INC.
January 2, 2001 - February 5, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
November 15, 2000 - August 4, 2003
CITICORP INVESTMENT SERVICES
April 27, 2000 - January 2, 2001
GLOBAL CAPITAL MARKETS, LLC
September 21, 1999 - March 14, 2000
TERRA NOVA FINANCIAL, LLC
July 10, 1997 - January 20, 1998
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 19
Date: 2/23/2017
NYSE Floor Clerk - Equities ExaminationSeries 55
Date: 6/14/2006
Limited Representative-Equity Trader ExamCurrent Firm
MMM SECURITIES LLC
CRD#: 318021 / SEC#: , 8-70865
Contact information
FINRA licenses (6 States and Territories)
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.
