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SM

Steven A. Markowitz

Some features on this profile are disabled
CRD#: 1299315
SM

Professional summary

Steven Alan Markowitz was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Steven had worked at 4 firms, which includes NATIONAL SECURITIES CORPORATION, JOSEPH STEVENS & CO. INC., A.S. GOLDMEN & CO. INC., D. H. BLAIR & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven A Markowitz

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 19, 2008 - June 26, 2009

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
OLD BRIDGE, NJ
Past

April 25, 1994 - June 20, 2008

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
NEW YORK, NY
Past

August 16, 1991 - May 2, 1994

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

March 4, 1985 - August 16, 1991

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/1993
General Securities Principal Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

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.

Company Information

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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