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Detailed Report
ELLIOTT BRUCE MOSKOWITZ
CRD#: 1140190
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 2715 Ashton Drive
SUITE 102
WILMINGTON, NC 28412
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2009 (10 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1983 - 1998 (15 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2009 (6 years)
License(s)

State Registrations

B
Florida 1/15/2010
IA
North Carolina 1/15/2010
B
Georgia 1/15/2010
B
South Carolina 1/15/2010
B
Kansas 12/12/2022
B
Tennessee 1/15/2010
B
Massachusetts 1/14/2013
B
Virginia 1/15/2010
B
New York 10/11/2016
B
Washington 4/22/2016
B
North Carolina 1/15/2010

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
2715 Ashton Drive SUITE 102, WILMINGTON, NC 28412
Registered with this firm since 1/15/2010
B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
2715 Ashton Drive SUITE 102, WILMINGTON, NC 28412
Registered with this firm since 1/15/2010
Previous Registration(s)
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IA
 06/01/2009 - 01/27/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) WILMINGTON, NC
B
 06/01/2009 - 01/27/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) WILMINGTON, NC
IA
 04/25/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WILMINGTON, NC
B
 12/02/1998 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WILMINGTON, NC
B
 07/20/1983 - 12/22/1998 WHEAT, FIRST SECURITIES, INC. (CRD#:6124) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.