Alvaro A. Gonzalez

MIDDLEGATE SECURITIES

New York, NY 10018-3805

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CRD#: 5724733

Professional summary

Alvaro A Gonzalez, who also goes by Alvaro Andres Gonzalez, Alvaro Gonzalez, Alvaro Andres Gonzalez R., is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.

Alvaro is registered as a RR (Registered Representative) and started their career in finance in 2009. Alvaro has worked at 5 firms and has passed the Series 63, SIE, Series 16, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alvaro Andres Gonzalez | Alvaro Gonzalez | Alvaro Andres Gonzalez R.

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 Alvaro A Gonzalez'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

February 15, 2024 - Present

MIDDLEGATE SECURITIES INC.

Office #1: 8 West 40th Street 4th Floor, New York, NY 10018-3805

CRD#: 21544

New York, NY

Past

January 4, 2023 - February 5, 2024

BREAN CAPITAL, LLC

CRD#: 23723

NEW YORK, NY

Past

December 16, 2021 - January 3, 2023

B. RILEY SECURITIES, INC.

CRD#: 25027

Stamford, CT

Past

October 3, 2018 - November 19, 2021

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

December 4, 2009 - September 25, 2018

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

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
(2/15/2024)

Connecticut
(2/15/2024)

Florida
(2/15/2024)

Massachusetts
(2/15/2024)

New Jersey
(2/15/2024)

New York
(2/15/2024)

Pennsylvania
(2/15/2024)

Texas
(2/15/2024)

Exams

State Security Law Exam

Series 63

Date: 6/7/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 16

Date: 10/1/2011

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 87

Date: 3/1/2010

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 12/3/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/5/2022

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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Alvaro A. Gonzalez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alvaro A Gonzalez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BREAN CAPITAL, LLC

B. RILEY SECURITIES, INC.

UBS SECURITIES LLC

INTL FCSTONE CREDIT TRADING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/7/2013

SIE

Date: 9/25/2018

Series 16

Date: 10/1/2011

Series 87

Date: 3/1/2010

Series 7

Date: 12/3/2009

Series 24

Date: 2/5/2022

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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