Elliot S. Horowitz
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.
Elliot Stuart Horowitz, who also goes by Elliot S Horowitz, was a registered financial professional .
Elliot is a previously registered financial professional and started their career in finance in 1988. Elliot had worked at 11 firms and has passed the Series 63, Series 55, Series 7, Series 6 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
October 22, 2010 - April 18, 2013
MIDDLEGATE SECURITIES INC.
May 20, 2010 - December 2, 2010
AVATAR SECURITIES, LLC
July 15, 2008 - September 23, 2008
OFFMAN SECURITIES, LLC
January 31, 2008 - April 25, 2008
IDB CAPITAL CORP.
September 6, 2005 - April 24, 2006
SANDERS MORRIS LLC
November 24, 2003 - January 5, 2005
MIDDLEGATE SECURITIES INC.
September 30, 1993 - November 20, 2003
CARLIN EQUITIES, LLC
October 28, 1992 - October 5, 1993
KERN, SUSLOW SECURITIES, INC.
April 6, 1992 - October 14, 1992
MIDDLEGATE SECURITIES INC.
September 15, 1989 - May 4, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 17, 1989 - September 16, 1989
THOMSON MCKINNON SECURITIES INC.
June 3, 1988 - March 6, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 3, 1988 - March 6, 1989
EQUITABLE ADVISORS, LLC
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 55
Date: 4/11/2000
Limited Representative-Equity Trader ExamCurrent 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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