Alex Moscowicz
Professional Summary
Alex Moscowicz was a registered financial advisor. Alex was a previously registered financial professional and started their career in finance 1971 - 2022. Alex had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 5, Series 1, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
55 years in the financial services industry
Current & Past Employments
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Current Firm
WESTERN INTERNATIONAL SECURITIES | WESTERN INTERNATIONAL SECURITIES, INC.
Contact Information
Main Address
70 South Lake Avenue Suite 700, Pasadena, CA 91101Phone Number
(888) 793-7717Established
Colorado since 04/14/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
407FINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
10,904AUM (Assets Under Management)
$3,512,564,746Disclosures
Regulatory Event
15Civil Event
1Arbitration
6Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | Cover Page | Report |
| 06/28/2024 | Cover Page | Report |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed Nov 1971Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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