Edwin E. Mosquera
Professional summary
Edwin Efrain Mosquera was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edwin is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Edwin had worked at 4 firms, which includes INVESTORS CAPITAL CORP., CITICORP INVESTMENT SERVICES, HSBC BROKERAGE (USA) INC., JOSEPHTHAL & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2009 - December 31, 2010
INVESTORS CAPITAL CORP.
August 15, 2006 - December 31, 2008
INVESTORS CAPITAL CORP.
August 8, 2006 - December 31, 2010
INVESTORS CAPITAL CORP.
December 6, 2004 - July 5, 2006
CITICORP INVESTMENT SERVICES
November 3, 2003 - July 5, 2006
CITICORP INVESTMENT SERVICES
February 11, 2003 - November 12, 2003
HSBC BROKERAGE (USA) INC.
June 30, 2000 - January 31, 2003
CITICORP INVESTMENT SERVICES
August 12, 1998 - July 5, 2000
JOSEPHTHAL & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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