Frederick T. Greene
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frederick Thomas Greene, CIMA®, who also goes by Fred Greene, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1983. Frederick had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 4, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - October 15, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 5, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 2, 2003 - October 15, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 2003 - May 6, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - May 6, 2003
OPPENHEIMER & CO. INC.
December 6, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
July 13, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
October 13, 1995 - July 21, 2000
WELLS FARGO CLEARING SERVICES, LLC
September 5, 1995 - September 27, 1995
WELLS FARGO CLEARING SERVICES, LLC
October 19, 1989 - September 7, 1995
UBS FINANCIAL SERVICES INC.
May 9, 1986 - April 5, 1990
ROTAN MOSLE INC.
May 25, 1983 - May 21, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 6/23/1983
Interest Rate Options ExaminationSeries 8
Date: 5/6/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
