Michael Moskowitz

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2015-08-19
TX	RA	APPROVED_RES	2010-09-24

CT RA
APPROVED

Since 2015-08-19
TX RA
APPROVED_RES

Since 2010-09-24

Branch Locations

2 Pickwick Plz, Greenwich, CT 06830 • United States

Stamford, CT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	09/2010	Present
Bank Of America,Na	New York	NY	10/2010	Present

09/2010 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
10/2010 → Present

Bank Of America,Na

New York, NY

Other Businesses

I*2122290, Entity Type: Entity For Profit, Name of OBA: Dune Real Estate Development, Address: Scottsdale, Arizona, 85253, Investment Related: N, Position, Title, Association: Other, Employee State Date: 45643, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I am forming an LLC for the development of property in the Scottsdale, AZ area. I will not have daily check writing or banking functions, Rather, I would be an investor.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-09-09
S63	Uniform Securities Agent State Law Examination	1986-09-02

S65 Uniform Investment Adviser Law Examination

1996-09-09
S63 Uniform Securities Agent State Law Examination

1986-09-02

Other Names

Michael Harris Moskowitz

View on SEC IAPD