Lawrence H. Kurtz
Professional summary
Lawrence Herbert Kurtz, who also goes by Lawrence H Kurtz, is a registered financial professional currently at MIDDLEGATE SECURITIES INC. located in New York, New York.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1979. Lawrence has worked at 5 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Herbert Kurtz's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2002 - 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 10018November 13, 2001 - February 27, 2002
RUMSON CAPITAL, LLC
October 10, 2000 - October 15, 2001
CREDIT SUISSE SECURITIES (USA) LLC
June 14, 1984 - October 10, 2000
PERSHING LLC
November 26, 1979 - June 5, 1984
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/6/2010)
(4/14/2010)
(4/21/2010)
(11/20/2002)
(4/15/2010)
(4/24/2019)
(12/1/2009)
(4/14/2010)
(4/22/2010)
(4/29/2002)
(5/24/2002)
(4/14/2010)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 11/2/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
MIDDLEGATE SECURITIES INC.
CRD#: 21544 / SEC#: , 8-39031
Contact information
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
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