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Douglas Christopher Green

CRD# 1713027·Registered 1987 - 2008
Barred: Douglas Christopher Green was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Douglas Christopher Green, who also goes by Doug Green, was a registered financial advisor. Douglas was a previously registered financial professional and started their career in finance 1987 - 2008. Douglas had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Doug Green

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

CROCKER SECURITIES LLC·CRD# 119523
BD
Boca Raton, FL
August 28, 2002 - September 5, 2008
IBIS SECURITIES, LLC·CRD# 38538
BD
Walnut Creek, CA
August 1, 2000 - September 4, 2002
JOSEPH CHARLES & ASSOC., INC.·CRD# 3949
BD
Boca Raton, FL
September 1, 1998 - July 5, 2000
R. SEELAUS & CO., LLC·CRD# 14974
BD
Chatham, NJ
May 8, 1997 - August 25, 1998
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
BD
Memphis, TN
August 22, 1996 - March 31, 1997
NBC CAPITAL MARKETS GROUP, INC.·CRD# 18229
BD
Memphis, TN
March 11, 1996 - August 7, 1996
SOUTHSTATE SECURITIES CORP.·CRD# 6950
BD
Memphis (shelby), TN
July 6, 1993 - February 27, 1996
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
March 5, 1992 - February 12, 1993
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
BD
Memphis, TN
February 1, 1989 - April 3, 1990
CARTY, HARDING & HEARN, INC.·CRD# 7001
BD
July 27, 1987 - December 24, 1987

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Current Firm

CS
CROCKER SECURITIES LLC

CROCKER SECURITIES LLC

CRD#: 119523 / SEC#: 8-65204
BD
Terminated by SEC on 09/05/2008

Contact Information

Established

California since 01/04/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PINYON CORPORATIONMANAGING MEMBER—
MELLO, LISA RENEEFINANCIAL OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER1465948
DOUGLAS C. GREEN, LLCMEMBER—
MARTIN, KEVIN BRADLEYMEMBER1704674

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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