KS
Kevin D. Smithies
MIDDLEGATE SECURITIES
New York, NY 10018-3805
Some features on this profile are disabled
CRD#: 4932551
KS
Professional summary
Kevin David Smithies, who also goes by Kevin David Smithies Mr., Kevin Smithies, is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2005. Kevin has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin David Smithies Mr. | Kevin Smithies
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 Kevin David Smithies'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
March 1, 2021 - Present
MIDDLEGATE SECURITIES INC.
Office #1: 8 West 40th Street 4th Floor, New York, NY 10018-3805BD
CRD#: 21544
New York, NY
Past
September 18, 2015 - March 1, 2021
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
NEW YORK, NY
Past
March 9, 2015 - August 10, 2015
INSPEREX LLC
BD
CRD#: 101420
DELRAY BEACH, FL
Past
September 2, 2011 - March 10, 2015
BMO CAPITAL MARKETS GKST INC.
BD
CRD#: 8352
CHICAGO, IL
Past
September 2, 2011 - March 10, 2015
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
CHICAGO, IL
Past
June 4, 2010 - September 21, 2011
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
August 3, 2005 - June 12, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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
Alabama(3/1/2021)
RR
Alaska(3/1/2021)
RR
Arizona(3/1/2021)
RR
Arkansas(3/1/2021)
RR
California(3/1/2021)
RR
Colorado(3/1/2021)
RR
Connecticut(3/1/2021)
RR
Delaware(3/1/2021)
RR
District of Columbia(3/1/2021)
RR
Florida(3/1/2021)
RR
Georgia(3/1/2021)
RR
Hawaii(3/1/2021)
RR
Idaho(3/1/2021)
RR
Illinois(3/1/2021)
RR
Indiana(3/1/2021)
RR
Iowa(3/1/2021)
RR
Kansas(3/1/2021)
RR
Kentucky(3/1/2021)
RR
Louisiana(3/1/2021)
RR
Maine(3/1/2021)
RR
Maryland(3/1/2021)
RR
Massachusetts(3/1/2021)
RR
Michigan(3/1/2021)
RR
Minnesota(3/1/2021)
RR
Mississippi(3/1/2021)
RR
Missouri(3/1/2021)
RR
Montana(3/1/2021)
RR
Nebraska(3/1/2021)
RR
Nevada(3/1/2021)
RR
New Hampshire(3/1/2021)
RR
New Jersey(3/1/2021)
RR
New Mexico(3/1/2021)
RR
New York(3/1/2021)
RR
North Carolina(3/1/2021)
RR
North Dakota(3/1/2021)
RR
Ohio(3/2/2021)
RR
Oklahoma(3/1/2021)
RR
Oregon(3/1/2021)
RR
Pennsylvania(3/1/2021)
RR
Puerto Rico(3/1/2021)
RR
Rhode Island(3/1/2021)
RR
South Carolina(3/1/2021)
RR
South Dakota(3/1/2021)
RR
Tennessee(1/12/2023)
RR
Texas(3/1/2021)
RR
Utah(3/1/2021)
RR
Vermont(3/1/2021)
RR
Virgin Islands(3/1/2021)
RR
Virginia(3/1/2021)
RR
Washington(3/1/2021)
RR
West Virginia(3/1/2021)
RR
Wisconsin(3/1/2021)
RR
Wyoming(3/1/2021)
Exams
State Security Law Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
