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AS

Albert M. Sutton

MIDDLEGATE SECURITIES
New York, NY 10018-3805
Some features on this profile are disabled
CRD#: 1782923
AS

Professional summary

Albert Mayer Sutton, who also goes by Albert Nmn Sutton, Albert Sutton, is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.

Albert is registered as a RR (Registered Representative) and started their career in finance in 1988. Albert has worked at 1 firm and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 3, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Albert Nmn Sutton | Albert Sutton

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 Albert Mayer Sutton'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

April 7, 1988 - Present

MIDDLEGATE SECURITIES INC.

Office #1: 8 West 40th Street 4th Floor, New York, NY 10018-3805Office #2: 8 West 40th Street 4th Floor, New York, NY 10018
BD
CRD#: 21544
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
Florida
(3/8/1990)
RR
Minnesota
(1/12/2021)
RR
Nevada
(7/16/2019)
RR
New Jersey
(7/27/1988)
RR
New York
(7/27/1988)
RR
North Carolina
(4/19/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/16/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/13/1988
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MIDDLEGATE SECURITIES INC.
MIDDLEGATE SECURITIES INC. | MIDDLEGATE SECURITIES LTD.

CRD#: 21544 / SEC#: , 8-39031

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

Main Address
8 West 40th Street 4th Floor, New York, NY 10018-3805
Mailing Address
8 West 40th Street 4th Floor, New York, NY 10018-3805
Phone number
(212) 382-9500
Established
New York since 09/09/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
SUTTON, ELLIOT MAYERSTOCKHOLDER1912239
SUTTON, ALBERT MAYEREXECUTIVE VP, SECRETARY.,DIRECTOR1782923
SUTTON, SUSAN NMNSTOCKHOLDER1782924
VERDIGER, ISAAC MEIRSTOCKHOLDER5486431
FELSENBURG, CHAVISTOCKHOLDER2433674
FELSENBURG, NEWTYSTOCKHOLDER5269719
MIZRAHI, VALERIE VICTORIASTOCKHOLDER5264018
LOGRANDE, MARIOVICE PRESIDENT, CCO2787657
OSTROFSKY, STEVENPRESIDENT1194663
SPINDEL, HOWARDFINANCIAL AND OPERATIONS PRINCIPAL708042

Disclosures

Regulatory Event2

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

MIDDLEGATE SECURITIES INC.

CRD#: 21544New York, NY 10018-3805

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