Howard J. Mofshin
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.
Howard Jonathan Mofshin, who also goes by Howard Mofshin, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1993. Howard had worked at 8 firms and has passed the Series 63, Series 55, 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
April 1, 2004 - March 18, 2005
S.W. BACH & COMPANY
October 15, 2003 - April 7, 2004
J.P. TURNER & COMPANY, L.L.C.
August 28, 2003 - October 15, 2003
GILFORD SECURITIES INCORPORATED
July 18, 2002 - April 28, 2003
STG SECURE TRADING GROUP, INC.
May 29, 1998 - October 17, 2001
PRIME CHARTER LTD.
January 26, 1996 - June 16, 1998
BARINGTON CAPITAL GROUP, L.P.
February 14, 1994 - February 2, 1996
CIBC WORLD MARKETS CORP.
November 30, 1993 - February 28, 1994
LEHMAN BROTHERS 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
Series 55
Date: 4/6/2001
Limited Representative-Equity Trader ExamCurrent Firm
S.W. BACH & COMPANY
CRD#: 43522 / SEC#: , 8-50298
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
