Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 1, 2017 indicate that Texas-based UBS Financial broker/adviser John Carolyn is the subject of several pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Carolyn (CRD# 4485799).
John Carolyn has spent fifteen years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2002. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (Securities Representative Examination). He is a registered broker and investment adviser with 23 US states and territories.
According to his BrokerCheck report, he has received five pending customer complaints.