Roberto Broegg

MFR SECURITIES

NEW YORK, NY 10017

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CRD#: 4091171

Professional summary

Roberto Broegg is a registered financial professional currently at MFR SECURITIES, INC. located in New York, New York.

Roberto is registered as a RR (Registered Representative) and started their career in finance in 2000. Roberto has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Roberto Broegg'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

July 13, 2023 - Present

MFR SECURITIES, INC.

Office #1: 630 Third Avenue, Ste 1203, New York, NY 10017

CRD#: 36308

NEW YORK, NY

Past

April 14, 2010 - July 10, 2023

ABN AMRO SECURITIES (USA) LLC

CRD#: 151796

NEW YORK, NY

Past

August 19, 2008 - April 8, 2010

INTRADE, LLC

CRD#: 104047

NEW YORK, NY

Past

July 1, 2005 - August 25, 2008

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

Past

March 31, 2000 - April 19, 2005

ELECTRONIC TRADING GROUP, LLC

CRD#: 37453

NEW YORK, NY

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

Illinois
(7/14/2025)

New York
(5/3/2024)

Exams

State Security Law Exam

Series 63

Date: 5/3/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/26/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 10/16/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/30/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MFR SECURITIES, INC.

MARIA FIORINI RAMIREZ SECURITIES, INC. | MFR SECURITIES, INC.

CRD#: 36308 / SEC#: , 8-47186

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

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Contact information

Main Address

2150 Goodlette Frank Road North, Suite 650, Naples, FL 34102

Mailing Address

P.o. Box 8568, Naples, FL 34102

Phone number

(212) 416-5000

Established

Florida since 04/21/2025

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (13 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MARIA FIORINI RAMIREZ, INC.	SOLE SHAREHOLDER
MILLER, ANDREW DAVID	FINOP	5106774
RAMIREZ, GEORGE MANUEL	PRESIDENT & CEO/ CHIEF COMPLIANCE OFFICER/ CFO/DIRECTOR	2618023
RAMIREZ, MARIA FIORINI	CHAIRWOMAN	1277347
RAMIREZ, MARIA FIORINI	DIRECTOR	1277347

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Roberto Broegg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roberto Broegg's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABN AMRO SECURITIES (USA) LLC

INTRADE, LLC

CNR SECURITIES, LLC

ELECTRONIC TRADING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/2024

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 7/26/2007

Series 55

Date: 10/16/2000

Series 7

Date: 3/30/2000

FINRA

Current Firm

MFR SECURITIES, INC.

Contact information

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MFR SECURITIES, INC.

TRUST BUT VERIFY

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