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AH

Allen Hassan

MIDDLEGATE SECURITIES
New York, NY 10018-3805
Some features on this profile are disabled
CRD#: 2815103
AH

Professional summary

Allen Hassan is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.

Allen is registered as a RR (Registered Representative) and started their career in finance in 1997. Allen has worked at 9 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Allen Hassan'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

October 20, 2025 - Present

MIDDLEGATE SECURITIES INC.

Office #1: 8 West 40th Street 4th Floor, New York, NY 10018-3805
BD
CRD#: 21544
New York, NY
Past

June 10, 2025 - July 16, 2025

CLEAR STREET LLC

BD
CRD#: 288933
NEW YORK, NY
Past

September 3, 2024 - May 23, 2025

ZEUS FINANCIAL, LLC

BD
CRD#: 18192
BOCA RATON, FL
Past

September 13, 2017 - October 17, 2023

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
Miami Beach, FL
Past

March 31, 2011 - August 9, 2017

BTIG, LLC

BD
CRD#: 122225
NEW YORK, NY
Past

February 11, 2004 - October 15, 2010

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

July 1, 2003 - February 3, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 15, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 3, 1997 - November 26, 1997

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
California
(10/20/2025)
RR
Connecticut
(10/20/2025)
RR
Florida
(10/20/2025)
RR
Illinois
(10/20/2025)
RR
New Jersey
(10/20/2025)
RR
New York
(10/20/2025)
RR
North Carolina
(10/20/2025)
RR
Pennsylvania
(10/20/2025)
RR
South Carolina
(10/20/2025)
RR
Texas
(10/20/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/29/1997
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 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/15/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/24/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/2021
General 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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