Jerome S. Markowitz
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.
Jerome Stanley Markowitz, who also goes by Jerry Markowitz, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1970. Jerome had worked at 7 firms and has passed the Series 1, Series 8, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1997 - November 4, 1998
BANC OF AMERICA SECURITIES LLC
March 11, 1988 - October 1, 1997
MONTGOMERY SECURITIES
June 26, 1986 - December 14, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
March 2, 1983 - April 2, 1986
PRUDENTIAL EQUITY GROUP, LLC
June 18, 1979 - October 1, 1981
DATAQUEST SECURITIES, INCORPORATED
June 20, 1978 - March 23, 1979
DATAQUEST, INCORPORATED
June 1, 1970 - September 27, 1977
CIBC WORLD MARKETS 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
Series 1
Date: 5/25/1970
Registered Representative ExaminationSeries 8
Date: 2/28/1990
General Securities Sales Supervisor Examination (Options Module & General Module)F04
Date: 8/30/1974
Financial Principal ExaminationSeries 00
Date: 8/23/1974
General Securities Principal ExaminationCurrent Firm
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
Red Flags
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