Steven Ostrofsky
Professional summary
Steven Ostrofsky is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1983. Steven has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Ostrofsky's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 1988 - Present
MIDDLEGATE SECURITIES INC.
Office #1: 8 West 40th Street 4th Floor, New York, NY 10018July 12, 1989 - October 30, 1989
ROBERT M. COHEN & CO., INC.
November 20, 1984 - April 21, 1988
STEINBERG & LYMAN
October 4, 1983 - September 26, 1984
D. H. BLAIR & CO., 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
(6/29/1999)
(5/11/1988)
(5/7/1991)
(7/28/1988)
(7/29/1988)
(10/5/2015)
(11/24/2009)
(9/21/1988)
(7/27/1988)
(5/11/1988)
(7/27/1988)
(4/5/2006)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
MIDDLEGATE SECURITIES INC.
CRD#: 21544 / SEC#: , 8-39031
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTON, ELLIOT MAYER | STOCKHOLDER | 1912239 |
| SUTTON, ALBERT MAYER | EXECUTIVE VP, SECRETARY.,DIRECTOR | 1782923 |
| SUTTON, SUSAN NMN | STOCKHOLDER | 1782924 |
| VERDIGER, ISAAC MEIR | STOCKHOLDER | 5486431 |
| FELSENBURG, CHAVI | STOCKHOLDER | 2433674 |
| FELSENBURG, NEWTY | STOCKHOLDER | 5269719 |
| MIZRAHI, VALERIE VICTORIA | STOCKHOLDER | 5264018 |
| LOGRANDE, MARIO | VICE PRESIDENT, CCO | 2787657 |
| OSTROFSKY, STEVEN | PRESIDENT | 1194663 |
| SPINDEL, HOWARD | FINANCIAL AND OPERATIONS PRINCIPAL | 708042 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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