Adam Mosslih
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.
Adam Mosslih was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1995. Adam had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2005 - August 21, 2006
EKN FINANCIAL SERVICES INC.
November 11, 2003 - July 28, 2004
GUNNALLEN FINANCIAL, INC
December 19, 2002 - September 12, 2003
BENCHMARK SECURITIES GROUP, INC.
October 23, 2002 - January 8, 2003
MAXIM GROUP LLC
September 6, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
June 2, 2000 - November 21, 2000
JOSEPH DILLON & COMPANY INC.
March 23, 1998 - June 27, 2000
CAMBRIDGE CAPITAL, LLC
July 8, 1996 - June 19, 1997
INVESTORS ASSOCIATES, INC.
January 19, 1996 - March 29, 1996
FAB SECURITIES OF AMERICA, INC.
October 19, 1995 - January 17, 1996
WINDSOR BENNETT CAPITAL GROUP CORP.
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
EKN FINANCIAL SERVICES INC.
CRD#: 113525 / SEC#: , 8-53346
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
| Arbitration | 10 |
| Judgment/Lien | 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.
