Douglas Irwin Moskowitz
Professional Summary
Douglas Irwin Moskowitz, who also goes by Douglas I Moskowitz, is a registered financial advisor currently at MORGAN STANLEY & CO. LLC located in New York, New York and PRIME DEALER SERVICES CORP. located in New York, New York. Douglas is registered as a RR (Registered Representative) and started their career in finance in 1996. Douglas has worked at 4 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Douglas I Moskowitz
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Contact Information
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
MS DEALER SERVICES CORP. | PRIME DEALER SERVICES CORP.
Contact Information
Main Address
1585 Broadway, New York, NY 10036Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231Phone Number
(212) 762-4000Established
Delaware since 01/26/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY & CO. LLC | SHAREHOLDER | — |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| GRECO, ANTHONY | DIRECTOR, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 4853800 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| MOSKOWITZ, DOUGLAS IRWIN | CHIEF COMPLIANCE OFFICER | 2396405 |
| RUBIN, GERALD | DIRECTOR | 2950891 |
| VINAS, SULLY V | DIRECTOR | 5304705 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(5/3/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Oct 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Douglas Irwin Moskowitz's CRS (Customer Relationship Summary).
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