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KE

Kelly J. Embree

MIDDLEGATE SECURITIES
New York, NY 10018-3805
Some features on this profile are disabled
CRD#: 7640041
KE

Professional summary

Kelly Jean Embree, who also goes by Kelly Jean Seufert, is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 2023. Kelly has worked at 1 firm and has passed the Series 63, Series 7TO, Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelly Jean Seufert

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 Kelly Jean Embree'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 1, 2023 - Present

MIDDLEGATE SECURITIES INC.

Office #1: 8 West 40th Street 4th Floor, New York, NY 10018-3805
BD
CRD#: 21544
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
New York
(3/14/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/1/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 2/23/2023
Securities Industry Essentials 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 10018-3805

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