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MZ

Moishe Zelcer

Some features on this profile are disabled
CRD#: 1300480
MZ

Professional summary

Moishe Zelcer was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Moishe is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Moishe had worked at 6 firms, which includes KING FINANCIAL SERVICES INC., ICLEARING LLC, HEARTLAND SECURITIES CORP., INET ATS INC., MAX SCHONBERG & CO. INC., ICAPITAL MARKETS LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mioshe Zelcer | Moisher Zelcer

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

October 20, 2000 - February 13, 2003

KING FINANCIAL SERVICES, INC.

BD
CRD#: 25843
EDISON, NJ
Past

March 3, 1998 - May 3, 1999

ICLEARING LLC

BD
CRD#: 43200
OMAHA, NE
Past

December 23, 1997 - April 7, 1998

HEARTLAND SECURITIES CORP.

BD
CRD#: 43201
EDISON, NJ
Past

May 8, 1996 - May 3, 1999

INET ATS, INC.

BD
CRD#: 20746
JERSEY CITY, NJ
Past

October 12, 1990 - October 26, 1992

MAX SCHONBERG & CO. INC.

BD
CRD#: 21605
Past

October 26, 1984 - May 19, 1998

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

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: 3/13/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/21/1985
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/28/1985
General Securities Principal Examination

Current Firm

KF
KING FINANCIAL SERVICES, INC.
KING FINANCIAL SERVICES, INC.

CRD#: 25843 / SEC#: , 8-42352

BD
Terminated by SEC on 01/08/2008
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/31/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MASCHLER, LEE SSHAREHOLDER2891766
MASCHLER, MATTHEW HALSHAREHOLDER2942925
CUCCINIELLO, DIANACHIEF FINANCIAL OFFICER2979877
HONG, ELLENCHIEF COMPLIANCE OFFICER4387887
KING, ABRAHAM MENDELEPRINCIPAL1342698

Disclosures

Regulatory Event5

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

KING FINANCIAL SERVICES, INC.

CRD#: 25843

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