MM
Mark L. Moskowitz
COLORADO FINANCIAL SERVICE
OCEAN RIDGE, FL
Some features on this profile are disabled
CRD#: 1302184
MM
Professional summary
Mark Lowell Moskowitz, who also goes by Mark L Moskowitz, is a registered financial advisor currently at COLORADO FINANCIAL SERVICE CORPORATION located in Ocean Ridge, Florida.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 14 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark L Moskowitz
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Lowell Moskowitz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 25, 2015 - Present
COLORADO FINANCIAL SERVICE CORPORATION
RIA
BD
CRD#: 104343
OCEAN RIDGE, FL
Past
October 4, 2013 - July 10, 2015
MERRIMAN CAPITAL, INC.
BD
CRD#: 18296
NEW YORK, NY
Past
March 17, 2011 - October 3, 2013
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
SAN FRANCISCO, CA
Past
March 17, 2011 - October 3, 2013
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SAN FRANCISCO, CA
Past
June 30, 2009 - March 16, 2011
COLORADO FINANCIAL SERVICE CORPORATION
BD
CRD#: 104343
CUPERTINO, CA
Past
May 27, 2004 - May 15, 2009
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SAN FRANCISCO, CA
Past
May 27, 2004 - May 15, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
April 15, 2003 - May 27, 2004
OPPENHEIMER ASSET MANAGEMENT
RIA
CRD#: 105559
NEW YORK, NY
Past
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
SAN FRANCISCO, CA
Past
January 3, 2003 - May 27, 2004
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
August 11, 1999 - January 3, 2003
CIBC WORLD MARKETS CORP.
RIA
CRD#: 630
SAN FRANCISCO, CA
Past
December 17, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
November 30, 1995 - December 22, 1998
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 20, 1995 - December 19, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 31, 1993 - January 27, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 30, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 4, 1990 - October 27, 1992
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 13, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
May 19, 1987 - September 12, 1990
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 20, 1984 - May 26, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/29/2016)
RR
California(6/26/2015)
RR
Colorado(4/15/2016)
RR
Connecticut(4/14/2016)
RR
Florida(12/6/2016)
RR
Georgia(11/7/2019)
RR
Illinois(5/6/2016)
RR
Indiana(7/15/2015)
RR
Kansas(8/15/2024)
RR
Louisiana(9/19/2025)
RR
Massachusetts(7/10/2020)
RR
Michigan(6/3/2024)
RR
Minnesota(4/8/2020)
RR
Nevada(5/6/2016)
RR
New Jersey(7/2/2015)
RR
New Mexico(6/14/2016)
RR
New York(4/19/2016)
RR
North Carolina(6/4/2024)
RR
Ohio(9/5/2018)
RR
Oregon(4/19/2024)
RR
Pennsylvania(9/28/2017)
RR
Tennessee(8/27/2021)
RR
Texas(10/4/2017)
RR
Utah(4/15/2020)
RR
Virgin Islands(5/27/2016)
RR
Virginia(5/11/2016)
RR
Washington(3/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COLORADO FINANCIAL SERVICE CORPORATION
COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.
CRD#: 104343 / SEC#: 801-76716, 8-52817
RIA
Registered Investment Advisory firm - SEC (8/8/2013 Terminated)Alaska
Registered Investment Advisory firm - SEC (5/7/2024 Approved)Arizona
Registered Investment Advisory firm - SEC (9/25/2017 Approved)California
Registered Investment Advisory firm - SEC (7/30/2013 Approved)Colorado
Registered Investment Advisory firm - SEC (7/24/2013 Approved)Florida
Registered Investment Advisory firm - SEC (4/23/2013 Approved)Louisiana
Registered Investment Advisory firm - SEC (8/14/2023 Approved)Maryland
Registered Investment Advisory firm - SEC (3/24/2022 Terminated)Montana
Registered Investment Advisory firm - SEC (2/3/2017 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/29/2013 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/4/2023 Approved)Ohio
Registered Investment Advisory firm - SEC (5/19/2017 Approved)Oregon
Registered Investment Advisory firm - SEC (6/4/2021 Approved)South Carolina
Registered Investment Advisory firm - SEC (1/3/2018 Approved)Texas
Registered Investment Advisory firm - SEC (7/14/2023 Approved)Washington
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Wyoming
Registered Investment Advisory firm - SEC (1/31/2025 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
188 Inverness Drive West Ste 100, Centennial, CO 80112
Mailing Address
188 Inverness Drive West Suite 100, Centennial, CO 80112
Phone number
(303) 962-7267
Established
Colorado since 06/13/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
38
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
