Christopher G. Schroeder

MIDDLEGATE SECURITIES

New York, NY 10018

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CRD#: 2963412

Professional summary

Christopher Gary Schroeder is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2003. Christopher has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Christopher Gary Schroeder'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

June 3, 2024 - Present

MIDDLEGATE SECURITIES INC.

Office #1: 8 West 40th Street 4th Floor, New York, NY 10018

CRD#: 21544

New York, NY

Past

June 16, 2016 - June 4, 2024

MFD DISTRIBUTOR, LLC

CRD#: 44930

MADISON, WI

Past

June 9, 2009 - April 11, 2014

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

NEW YORK, NY

Past

February 8, 2006 - April 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 23, 2004 - December 7, 2005

MILLENCO LLC

CRD#: 33726

NEW YORK, NY

Past

September 22, 2003 - December 17, 2003

SOLEIL SECURITIES CORPORATION

CRD#: 124737

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/24/2024)

Connecticut
(6/4/2024)

Florida
(6/10/2024)

Illinois
(7/24/2024)

Massachusetts
(6/24/2024)

Minnesota
(6/25/2024)

New Jersey
(7/23/2024)

New York
(6/24/2024)

Pennsylvania
(6/24/2024)

Texas
(6/26/2024)

Wisconsin
(6/25/2024)

Exams

State Security Law Exam

Series 63

Date: 6/21/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 1/10/2011

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/18/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/6/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MIDDLEGATE SECURITIES INC.

MIDDLEGATE SECURITIES INC. | MIDDLEGATE SECURITIES LTD.

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Christopher G. Schroeder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Gary Schroeder's CRS (Customer Relationship Summary).

Certified licenses

Experience

MFD DISTRIBUTOR, LLC

INTL FCSTONE CREDIT TRADING LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MILLENCO LLC

SOLEIL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/2024

SIE

Date: 10/1/2018

Series 87

Date: 1/10/2011

Series 7

Date: 9/18/2003

Series 24

Date: 8/6/2012

FINRA

Current Firm

MIDDLEGATE SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MIDDLEGATE SECURITIES INC.

TRUST BUT VERIFY

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