Matthew W. Middendorf

CASTLEOAK SECURITIES, LP

Independence, OH 44131

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CRD#: 3133237

Professional summary

Matthew William Middendorf is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in Independence, Ohio.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, 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 Matthew William Middendorf'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®

None

Experience

Current

February 8, 2011 - Present

CASTLEOAK SECURITIES, LP

Office #1: 5005 Rockside Road Suite 600, Independence, OH 44131

CRD#: 125334

Independence, OH

Past

August 13, 2009 - March 4, 2011

BLAYLOCK VAN, LLC

CRD#: 145317

CLEVELAND, OH

Past

December 11, 1998 - August 11, 2009

SBK-BROOKS INVESTMENT CORP.

CRD#: 35851

CLEVELAND, OH

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
(2/8/2011)

Colorado
(5/9/2014)

Connecticut
(2/8/2011)

Florida
(5/9/2014)

Georgia
(2/8/2011)

Illinois
(2/8/2011)

Indiana
(5/7/2013)

Massachusetts
(1/15/2014)

Michigan
(2/8/2011)

New Jersey
(2/8/2011)

New Mexico
(6/5/2013)

New York
(2/8/2011)

North Carolina
(5/9/2014)

Ohio
(2/8/2011)

Pennsylvania
(2/8/2011)

Texas
(5/9/2014)

Virginia
(5/9/2014)

Exams

State Security Law Exam

Series 63

Date: 2/16/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/22/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

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

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Contact information

Main Address

200 Vesey Street Fl 04, New York, NY 10281

Mailing Address

200 Vesey St Fl 04, New York, NY 10281

Phone number

(646) 521-6700

Established

Delaware since 07/01/2004

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JONES, DAVID RODERICK	CHIEF EXECUTIVE OFFICER	2389684
CASTLEOAK MANAGEMENT, LLC	GENERAL PARTNER
GOMEZ, LUIS J	FINOP AND PRINCIPAL FINANCIAL OFFICER	4974439
IPPOLITO, PHILIP	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1072137
SKINNER, JEFFREY THOMAS	SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	4078336

Disclosures

Regulatory Event	2
Civil Event	1

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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Firm Stability Insights

Matthew W. Middendorf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew William Middendorf's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLAYLOCK VAN, LLC

SBK-BROOKS INVESTMENT CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/16/2006

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/7/1998

Series 24

Date: 9/22/2010

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CASTLEOAK SECURITIES, LP

TRUST BUT VERIFY

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