Steven H. 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.
Steven Harold Moskowitz was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1993. Steven had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2011 - February 16, 2012
LPL FINANCIAL LLC
July 20, 2005 - July 7, 2011
ALLSTATE FINANCIAL SERVICES, LLC
January 1, 2005 - July 5, 2005
HSBC SECURITIES (USA) INC.
June 3, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
January 26, 2004 - May 21, 2004
CAPITAL ONE FINANCIAL ADVISORS LLC
January 2, 2004 - May 21, 2004
GREENPOINT SECURITIES LLC
February 19, 2002 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
November 7, 2001 - February 1, 2002
DIME SECURITIES, INC.
August 22, 2001 - November 2, 2001
CITICORP INVESTMENT SERVICES
December 6, 2000 - August 22, 2001
LASALLE FINANCIAL SERVICES, INC.
August 7, 2000 - December 6, 2000
QUICK & REILLY, INC.
July 27, 1999 - August 7, 2000
FLEET ENTERPRISES, INC.
July 24, 1997 - July 22, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 7, 1993 - August 7, 1997
DAVID LERNER ASSOCIATES, INC.
August 4, 1993 - September 3, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 4, 1993 - October 22, 1993
BENJAMIN SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
