Mutual Funds

Stocks can be the most lucrative part of your investment package and Middlegate Securities makes managing your trades effortless. We offer access to all major exchanges, including foreign markets in both industrialized and developing nations. Through state-of-the-art technology, our institutional and high net worth clients have more flexibility and greater potential growth as we strive to secure the best prices, within stated limits. The resources and reputation of our clearing firm, National Financial Services LLC a subsidiary of Fidelity Investments, compliments our technological and financial insights, guaranteeing comprehensive and confidential trading. As stocks continue to attract smart, self-assured and savvy investors, Middlegate is ready to show you the best way to reach your financial summit.

Over-the-Counter Equities

Middlegate Securities strives for the highest possible quality in order execution. Institutional and individual clients are pleased with the individual attention paid to their orders, all of which are handled with the utmost discretion.

Listed Equities

To deliver quality Listed Exchange executions, Middlegate Securities uses state-of-the-art technology as well as the resources of National Financial Services LLC, our clearing firm. National Financial Services LLC's reputation and extensive presence on all major stock and option exchanges, as well as its large trading presence on the New York Stock Exchange floor, makes it a strong and reliable order executions partner.

Securities and Exchange Commission Exchange Act Rule 606 (formally 11 AC 1-6)

In November 2000, the SEC adopted Exchange Act Rule 606 (formally 11AC 1-6). This rule states that all broker-dealers routing nondirected orders in equity and option securities must make the following information available to the general public. For further information on Order Routing Disclosure, Please see one of the following links:

SEC Rule 11Ac1-6, Quarterly Reports

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