Joel E. Moskowitz
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.
Joel Ellis Moskowitz was a registered financial advisor .
Joel is a previously registered financial advisor and started their career in finance in 1976. Joel had worked at 4 firms and has passed the Series 63, Series 31, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2003 - June 16, 2005
FINANCIAL CONSULTANT GROUP, LLC
March 24, 2003 - June 16, 2005
FINANCIAL CONSULTANT GROUP, LLC
July 18, 2002 - January 7, 2003
UBS FINANCIAL SERVICES INC.
October 29, 1997 - January 7, 2003
UBS FINANCIAL SERVICES INC.
January 13, 1988 - October 24, 1997
UBS FINANCIAL SERVICES INC.
May 21, 1982 - January 12, 1988
PRUDENTIAL EQUITY GROUP, LLC
June 9, 1976 - June 24, 1982
GIBRALTAR SECURITIES CO.
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: 10/5/1978
Registered Representative ExaminationCurrent Firm
FINANCIAL CONSULTANT GROUP, LLC
CRD#: 25644 / SEC#: , 8-41938
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COOK, CHRISTOPHER JOSEPH | PRESIDENT, SECTY,TREAS,FINOP,,MSP,GSP,CHIEF COMPLIANCE OFFICER | 2800929 |
Disclosures
| Regulatory Event | 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.
