Michael S. 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.
Michael Stephen Moskowitz was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 55 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 17, 2002 - April 18, 2016
CSS, LLC
June 29, 1998 - February 28, 2000
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 3, 1995 - September 2, 1997
SBC WARBURG, INC.
June 4, 1992 - January 3, 1995
O'CONNOR & ASSOCIATES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 8/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
CSS, LLC
CRD#: 45980 / SEC#: , 8-51295
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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