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Gregg Steven Moskowitz

Mizuho Securities USA LLC

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About Gregg Steven Moskowitz

Gregg Moskowitz is a financial advisor at Mizuho Securities USA LLC. Gregg has over 20 years of experience in the financial services industry. Gregg is a Series 7, Series 63, and Series 87 licensed professional. Gregg is also registered with FINRA and is a member of the Securities Industry and Financial Markets Association (SIFMA). Gregg has been registered with FINRA for over 19 years. Prior to joining Mizuho Securities USA LLC, Gregg was employed by Cowen and Company, Auriga USA, LLC, Susquehanna Financial Group, LLLP, UBS Warburg LLC, and Dresdner Kleinwort Benson North America LLC.

Firm Information

Gregg Moskowitz is currently registered with Mizuho Securities USA LLC. Mizuho Securities USA LLC is a Limited Liability Company formed in April 1994 and approved in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has been subject to 13 Regulatory Events and 1 Civil Event.

Not reported

Assets Under Management

Not reported

Total Clients

535

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Gregg Moskowitz’s Registration & Firm History

NY

01/03/2019 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

02/15/2010 - 12/17/2018

COWEN AND COMPANY (NEW YORK NY)

NY

03/25/2009 - 02/02/2010

AURIGA USA, LLC (NEW YORK NY)

NY

06/09/2003 - 02/16/2007

SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)

NY

06/14/2000 - 05/05/2003

UBS WARBURG LLC (NEW YORK NY)

NY

04/26/2000 - 05/25/2000

DRESDNER KLEINWORT BENSON NORTH AMERICA LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/19/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/23/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/11/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Gregg Steven Moskowitz.
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