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SW

Scott Wilson

MIDDLEGATE SECURITIES
New York, NY 10018
Some features on this profile are disabled
CRD#: 7117956
SW

Professional summary

Scott Wilson is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2019. Scott has worked at 3 firms and has passed the Series 63 and Series 7TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Scott Wilson'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

November 21, 2024 - Present

MIDDLEGATE SECURITIES INC.

Office #1: 8 West 40th Street 4th Floor, New York, NY 10018
BD
CRD#: 21544
New York, NY
Past

January 10, 2022 - July 2, 2024

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

July 2, 2019 - December 13, 2021

BTIG, LLC

BD
CRD#: 122225
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
California
(11/22/2024)
RR
Connecticut
(11/21/2024)
RR
Florida
(11/22/2024)
RR
Illinois
(11/25/2024)
RR
Massachusetts
(11/22/2024)
RR
Minnesota
(11/26/2024)
RR
New Jersey
(11/21/2024)
RR
New York
(11/24/2024)
RR
Pennsylvania
(11/22/2024)
RR
Texas
(11/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/31/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/28/2019
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SUTTON, ELLIOT MAYERSTOCKHOLDER1912239
SUTTON, ALBERT MAYEREXECUTIVE VP, SECRETARY.,DIRECTOR1782923
SUTTON, SUSAN NMNSTOCKHOLDER1782924
VERDIGER, ISAAC MEIRSTOCKHOLDER5486431
FELSENBURG, CHAVISTOCKHOLDER2433674
FELSENBURG, NEWTYSTOCKHOLDER5269719
MIZRAHI, VALERIE VICTORIASTOCKHOLDER5264018
LOGRANDE, MARIOVICE PRESIDENT, CCO2787657
OSTROFSKY, STEVENPRESIDENT1194663
SPINDEL, HOWARDFINANCIAL AND OPERATIONS PRINCIPAL708042

Disclosures

Regulatory Event2

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.

Company Information

MIDDLEGATE SECURITIES INC.

CRD#: 21544New York, NY 10018

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