Jacob Baum

MIDDLEGATE SECURITIES

New York, NY 10018-3805

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CRD#: 873053

Professional summary

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

Jacob is registered as a RR (Registered Representative) and started their career in finance in 1979. Jacob has worked at 4 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 27 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

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

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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

July 26, 2000 - Present

MIDDLEGATE SECURITIES INC.

Office #1: 8 West 40th Street 4th Floor, New York, NY 10018-3805Office #2: 8 West 40th Street 4th Floor, New York, NY 10018

CRD#: 21544

New York, NY

Past

May 5, 1998 - July 21, 2000

KERN, SUSLOW SECURITIES, INC.

CRD#: 24755

NEW YORK, NY

Past

May 22, 1996 - February 27, 1998

DANALLEN INVESTMENT GROUP INC.

CRD#: 38968

ASTORIA, NY

Past

October 29, 1979 - December 5, 1995

LEUMI SECURITIES CORPORATION

CRD#: 2556

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

New York
(7/26/2000)

Exams

State Security Law Exam

Series 63

Date: 1/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 2/19/1992

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 4/17/1985

Municipal 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

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Jacob Baum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jacob Baum's CRS (Customer Relationship Summary).

Certified licenses

Experience

KERN, SUSLOW SECURITIES, INC.

DANALLEN INVESTMENT GROUP INC.

LEUMI SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/1985

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/22/1979

Series 27

Date: 2/19/1992

Series 53

Date: 4/17/1985

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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