Mark J. Moskowitz
Professional summary
Mark Jay Moskowitz 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.
Mark is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Mark had worked at 4 firms, which includes NORTHEAST ASSET MANAGEMENT LLC, NORTHEAST SECURITIES LLC, FINANCIAL CONSULTANT GROUP LLC, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2006 - October 30, 2007
NORTHEAST ASSET MANAGEMENT LLC
June 2, 2004 - October 23, 2007
NORTHEAST SECURITIES, LLC
October 29, 2002 - July 1, 2004
FINANCIAL CONSULTANT GROUP, LLC
October 29, 2002 - July 1, 2004
FINANCIAL CONSULTANT GROUP, LLC
July 22, 2002 - November 5, 2002
UBS FINANCIAL SERVICES INC.
January 8, 1992 - November 5, 2002
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHEAST ASSET MANAGEMENT LLC
CRD#: 117567 / SEC#: 801-71727
Contact information
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.
