Neal Moskowitz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Neal Moskowitz was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1983. Neal had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2002 - June 17, 2003
VFINANCE INVESTMENTS, INC
October 20, 2000 - February 23, 2001
PARAGON CAPITAL MARKETS, INC.
June 28, 2000 - October 20, 2000
DRAKE & COMPANY, INC.
October 23, 1990 - August 5, 1998
BARRON CHASE SECURITIES, INC.
April 24, 1990 - November 9, 1990
R.B. WEBSTER INVESTMENTS, INC.
February 22, 1990 - April 20, 1990
WELLSHIRE SECURITIES, INC.
November 20, 1987 - February 21, 1990
J. T. MORAN & CO., INC.
July 24, 1985 - November 25, 1987
RLR SECURITIES GROUP, INC.
September 28, 1984 - August 9, 1985
BROWN & HAWK, INC.
September 21, 1983 - May 30, 1984
EARL W. SHOMBER & CO., INC.
June 6, 1983 - December 14, 1983
SWINK & COMPANY, 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
Exams
Current Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
