TC
Thomas W. Coleman
MIDDLEGATE SECURITIES
New York, NY 10018-3805
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CRD#: 5362902
TC
Professional summary
Thomas Wilkes Coleman, who also goes by Thomas W Coleman, is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas W Coleman
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 Thomas Wilkes Coleman'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
November 15, 2021 - Present
MIDDLEGATE SECURITIES INC.
Office #1: 8 West 40th Street 4th Floor, New York, NY 10018-3805BD
CRD#: 21544
New York, NY
Past
April 2, 2012 - November 11, 2021
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
June 29, 2009 - April 2, 2012
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
September 3, 2007 - June 24, 2009
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MEMPHIS, TN
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(11/15/2021)
RR
Alaska(11/15/2021)
RR
Arizona(11/15/2021)
RR
Arkansas(11/15/2021)
RR
California(11/15/2021)
RR
Colorado(11/15/2021)
RR
Connecticut(11/15/2021)
RR
Delaware(11/15/2021)
RR
District of Columbia(11/15/2021)
RR
Florida(11/15/2021)
RR
Georgia(11/15/2021)
RR
Hawaii(11/15/2021)
RR
Idaho(11/15/2021)
RR
Illinois(11/15/2021)
RR
Indiana(11/15/2021)
RR
Iowa(11/15/2021)
RR
Kansas(11/15/2021)
RR
Kentucky(11/15/2021)
RR
Louisiana(11/15/2021)
RR
Maine(11/15/2021)
RR
Maryland(11/15/2021)
RR
Massachusetts(11/15/2021)
RR
Michigan(11/15/2021)
RR
Minnesota(11/15/2021)
RR
Mississippi(11/15/2021)
RR
Missouri(11/15/2021)
RR
Montana(11/15/2021)
RR
Nebraska(11/15/2021)
RR
Nevada(11/15/2021)
RR
New Hampshire(11/15/2021)
RR
New Jersey(11/15/2021)
RR
New Mexico(11/15/2021)
RR
New York(11/15/2021)
RR
North Carolina(11/15/2021)
RR
North Dakota(11/15/2021)
RR
Ohio(11/15/2021)
RR
Oklahoma(11/15/2021)
RR
Oregon(11/15/2021)
RR
Pennsylvania(11/15/2021)
RR
Puerto Rico(11/15/2021)
RR
Rhode Island(11/15/2021)
RR
South Carolina(11/15/2021)
RR
South Dakota(11/15/2021)
RR
Tennessee(1/13/2026)
RR
Texas(11/15/2021)
RR
Utah(11/15/2021)
RR
Vermont(11/15/2021)
RR
Virgin Islands(11/15/2021)
RR
Virginia(11/15/2021)
RR
Washington(11/15/2021)
RR
West Virginia(11/15/2021)
RR
Wisconsin(11/15/2021)
RR
Wyoming(11/15/2021)
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)
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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)
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.
