David 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.
David Stuart Moskowitz was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the Series 63, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2013 - November 11, 2013
EMPIRE ASSET MANAGEMENT COMPANY
February 12, 2013 - March 15, 2013
CORINTHIAN PARTNERS, L.L.C.
November 9, 2012 - February 8, 2013
JOHN THOMAS FINANCIAL
March 14, 2011 - March 20, 2012
ROTH CAPITAL PARTNERS, LLC
January 26, 2010 - March 14, 2011
MADISON WILLIAMS AND COMPANY
March 5, 2008 - January 11, 2010
CARIS & COMPANY, INC.
July 23, 2001 - March 11, 2008
B. RILEY SECURITIES, INC.
October 26, 1999 - March 15, 2001
UBS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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