Public records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Washington-based UBS Financial Services broker/adviser John Greene has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greene (CRD# 1871171).
John Greene has spent 27 years in the securities industry and has been registered with UBS Financial Services in Bellevue, Washington since 2014. Previous registrations include Merrill Lynch in Bellevue, Washington (2009-2014); Banc of America Investment Services in Bellevue, Washington (2006-2009); Wells Fargo Investments in Bellevue, Washington (2001-2006); Wells Fargo Securities in San Francisco, California (1997-2001); Essex National Securities in Napa, California (1993-1995); and Merrill Lynch in New York, New York (1988-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 1, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 4, 1988; Series 7 (General Securities Representative Examination), which he obtained on October 15, 1988. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Michigan, Montana, Nevada, New Jersey, New Mexico, New York, Oregon, South Carolina, Texas, Utah, and Washington.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.