RM
Richard J. Michalowski
MIDDLEGATE SECURITIES
New York, NY 10018-3805
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CRD#: 2645661
RM
Professional summary
Richard Jon Michalowski, who also goes by Richard Jon Michalewski, Richard John Michalowski, is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 8 firms and has passed the Series 63, Series 3, Series 55, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Jon Michalewski | Richard John Michalowski
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Jon Michalowski's 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®
NoneExperience
Current
July 10, 2020 - Present
MIDDLEGATE SECURITIES INC.
Office #1: 8 West 40th Street 4th Floor, New York, NY 10018-3805BD
CRD#: 21544
New York, NY
Past
October 26, 2011 - February 27, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
STAMFORD, CT
Past
February 5, 2009 - November 6, 2009
R. F. LAFFERTY & CO., INC.
BD
CRD#: 2498
NEW YORK, NY
Past
February 12, 2008 - January 13, 2009
BATTENKILL CAPITAL, INC.
BD
CRD#: 131548
MANCHESTER CENTER, VT
Past
January 31, 2006 - August 29, 2006
MILLENCO LLC
BD
CRD#: 33726
NEW YORK, NY
Past
April 21, 1999 - January 11, 2006
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
BD
CRD#: 2625
NEW YORK, NY
Past
February 17, 1998 - April 15, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 11, 1995 - January 30, 1998
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
BRIDGEPORT, CT
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
Alabama(9/8/2020)
RR
Alaska(9/16/2020)
RR
Arizona(9/17/2020)
RR
Arkansas(9/9/2020)
RR
California(9/9/2020)
RR
Colorado(9/9/2020)
RR
Connecticut(9/9/2020)
RR
Delaware(9/10/2020)
RR
District of Columbia(9/11/2020)
RR
Florida(9/9/2020)
RR
Georgia(9/9/2020)
RR
Hawaii(9/9/2020)
RR
Idaho(9/8/2020)
RR
Illinois(9/18/2020)
RR
Indiana(9/11/2020)
RR
Iowa(9/10/2020)
RR
Kansas(2/1/2021)
RR
Kentucky(9/9/2020)
RR
Louisiana(9/9/2020)
RR
Maine(9/8/2020)
RR
Maryland(9/8/2020)
RR
Massachusetts(9/9/2020)
RR
Michigan(9/10/2020)
RR
Minnesota(9/10/2020)
RR
Mississippi(9/10/2020)
RR
Missouri(9/8/2020)
RR
Montana(9/8/2020)
RR
Nebraska(10/21/2020)
RR
Nevada(9/18/2020)
RR
New Hampshire(9/11/2020)
RR
New Jersey(9/23/2020)
RR
New Mexico(9/9/2020)
RR
New York(9/12/2020)
RR
North Carolina(9/8/2020)
RR
North Dakota(9/14/2020)
RR
Ohio(9/8/2020)
RR
Oklahoma(9/11/2020)
RR
Oregon(9/9/2020)
RR
Pennsylvania(9/9/2020)
RR
Puerto Rico(9/11/2020)
RR
Rhode Island(9/8/2020)
RR
South Carolina(9/14/2020)
RR
South Dakota(9/15/2020)
RR
Tennessee(9/14/2020)
RR
Texas(9/28/2020)
RR
Utah(9/9/2020)
RR
Vermont(9/9/2020)
RR
Virgin Islands(9/14/2020)
RR
Virginia(9/14/2020)
RR
Washington(9/9/2020)
RR
West Virginia(9/21/2020)
RR
Wisconsin(9/8/2020)
RR
Wyoming(9/9/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/28/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
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)
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
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.
