DM
Douglas I. Moskowitz
MORGAN STANLEY & CO. LLC
New York, NY 10036-8293
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CRD#: 2396405
DM
Professional summary
Douglas Irwin Moskowitz, who also goes by Douglas I Moskowitz, is a registered financial professional 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 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Douglas I 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 Douglas Irwin 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
May 3, 2017 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036-8293BD
CRD#: 8209
New York, NY
Current
January 29, 2025 - Present
PRIME DEALER SERVICES CORP.
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 36142
New York, NY
Past
December 4, 2000 - July 15, 2016
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
February 6, 1996 - December 4, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
New York(5/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/16/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PD
PRIME DEALER SERVICES CORP.
MS DEALER SERVICES CORP. | PRIME DEALER SERVICES CORP.
CRD#: 36142 / SEC#: , 8-47025
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1585 Broadway, New York, NY 10036
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 762-4000
Established
Delaware since 01/26/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (1 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 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| MOSKOWITZ, DOUGLAS IRWIN | CHIEF COMPLIANCE OFFICER | 2396405 |
| MURRAY, CHRISTOPHER A | DIRECTOR | 3128073 |
| RUBIN, GERALD | DIRECTOR | 2950891 |
Disclosures
| Regulatory Event | 1 |
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.
