Tripp S. Middleton

EQUITYBEE SECURITIES

PALO ALTO, CA 94301

Some features on this profile are disabled

CRD#: 5291681

Professional summary

Tripp Sadler Middleton, who also goes by Tripp S Middleton, Tripp Middleton, is a registered financial professional currently at EQUITYBEE SECURITIES, LLC located in Palo Alto, California.

Tripp is registered as a RR (Registered Representative) and started their career in finance in 2007. Tripp has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tripp S Middleton | Tripp Middleton

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.

WESTERN SOUTHERN LIFE- NO- DANIEL ISLAND, SC- FULL TIME SALES AGENT/// BOXXLE, LLC-NOT INVESTMENT RELATED- GREENSBORO, NC 27408-OWNER-START DATE- 8/2010-#HRS/MNTH- 20 #HRS/TRADE- 0-ONLINE BUSINESS, MONITOR SALES AND CHECK EMAILS IN THE EVENING.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tripp Sadler Middleton'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

May 19, 2025 - Present

EQUITYBEE SECURITIES, LLC

Office #1: 955 Alma Street. Suite B, Palo Alto, CA 94301

CRD#: 41896

PALO ALTO, CA

Past

April 29, 2022 - October 18, 2024

EQUITYBEE SECURITIES, LLC

CRD#: 41896

PALO ALTO, CA

Past

April 29, 2020 - April 18, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MOUNT PLEASANT, SC

Past

April 29, 2020 - April 18, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MOUNT PLEASANT, SC

Past

August 30, 2019 - December 19, 2019

W&S BROKERAGE SERVICES, INC.

RIA

CRD#: 8099

Daniel Island, SC

Past

August 1, 2019 - December 19, 2019

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Daniel Island, SC

Past

November 7, 2014 - January 16, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLESTON, SC

Past

October 7, 2014 - January 16, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLESTON, SC

Past

October 18, 2007 - February 2, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

October 5, 2007 - February 2, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ATLANTA, GA

Past

June 19, 2007 - September 18, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ATLANTA, GA

Past

April 18, 2007 - September 18, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ATLANTA, GA

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

Alabama
(5/19/2025)

Alaska
(5/19/2025)

Arizona
(5/19/2025)

Arkansas
(5/19/2025)

California
(5/19/2025)

Colorado
(5/19/2025)

Connecticut
(5/19/2025)

Delaware
(5/19/2025)

District of Columbia
(5/19/2025)

Florida
(5/19/2025)

Georgia
(5/19/2025)

Hawaii
(5/19/2025)

Idaho
(5/19/2025)

Illinois
(5/19/2025)

Indiana
(5/19/2025)

Iowa
(5/19/2025)

Kansas
(5/19/2025)

Kentucky
(5/19/2025)

Louisiana
(5/19/2025)

Maine
(5/19/2025)

Maryland
(5/19/2025)

Massachusetts
(5/19/2025)

Michigan
(5/19/2025)

Minnesota
(5/19/2025)

Mississippi
(5/19/2025)

Missouri
(5/19/2025)

Montana
(5/19/2025)

Nebraska
(5/19/2025)

Nevada
(5/19/2025)

New Hampshire
(5/19/2025)

New Jersey
(5/19/2025)

New Mexico
(5/19/2025)

New York
(5/19/2025)

North Carolina
(5/19/2025)

North Dakota
(5/19/2025)

Ohio
(5/20/2025)

Oklahoma
(5/19/2025)

Oregon
(5/19/2025)

Pennsylvania
(5/19/2025)

Puerto Rico
(5/19/2025)

Rhode Island
(5/19/2025)

South Carolina
(5/19/2025)

South Dakota
(5/19/2025)

Tennessee
(5/19/2025)

Texas
(5/19/2025)

Utah
(5/19/2025)

Vermont
(5/19/2025)

Virginia
(5/19/2025)

Washington
(5/19/2025)

West Virginia
(5/19/2025)

Wisconsin
(5/19/2025)

Wyoming
(5/19/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/1/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/13/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EQUITYBEE SECURITIES, LLC

EQUITYBEE SECURITIES, LLC | HMI INVESTMENTS, LTD. | HAMILTON MILLER INVESTMENTS, LLC

CRD#: 41896 / SEC#: , 8-49621

Broker-Dealer Firm Regulated by FINRA (San Francisco 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

955 Alma Street. Suite B, Palo Alto, CA 94301

Mailing Address

955 Alma Street. Suite A, Palo Alto, CA 94301

Phone number

(650) 847-1149

Established

Delaware since 03/04/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EQUITYBEE INC.	PARENT
DANIELS, RICHARD MATTHEW	FINOP/PFO/POO	5877964
KAISER, MICHELLE AMBROSIO	CHIEF EXECUTIVE OFFICER	5880443
WADE, MITCHELL	CHIEF COMPLIANCE OFFICER	6516098

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tripp S. Middleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tripp Sadler Middleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITYBEE SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2019

Series 7TO

Date: 8/1/2019

SIE

Date: 6/13/2019

Series 7

Date: 10/7/2014

FINRA

Current Firm

EQUITYBEE SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EQUITYBEE SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors