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DG

Douglas C. Green

Some features on this profile are disabled
CRD#: 1713027
DG

Professional summary

Douglas Christopher Green was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Douglas is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Douglas had worked at 9 firms, which includes CROCKER SECURITIES LLC, IBIS SECURITIES LLC, JOSEPH CHARLES & ASSOC. INC., R. SEELAUS & CO. LLC, MORGAN KEEGAN & COMPANY LLC, NBC CAPITAL MARKETS GROUP INC., SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP., UBS FINANCIAL SERVICES INC., CARTY HARDING & HEARN INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug Green

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 28, 2002 - September 5, 2008

CROCKER SECURITIES LLC

BD
CRD#: 119523
BOCA RATON, FL
Past

August 1, 2000 - September 4, 2002

IBIS SECURITIES, LLC

BD
CRD#: 38538
WALNUT CREEK, CA
Past

September 1, 1998 - July 5, 2000

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

May 8, 1997 - August 25, 1998

R. SEELAUS & CO., LLC

BD
CRD#: 14974
CHATHAM, NJ
Past

August 22, 1996 - March 31, 1997

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

March 11, 1996 - August 7, 1996

NBC CAPITAL MARKETS GROUP, INC.

BD
CRD#: 18229
MEMPHIS, TN
Past

July 6, 1993 - February 27, 1996

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past

March 5, 1992 - February 12, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 1, 1989 - April 3, 1990

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

July 27, 1987 - December 24, 1987

CARTY, HARDING & HEARN, INC.

BD
CRD#: 7001

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/31/2001
General Securities Principal Examination

Current Firm

CS
CROCKER SECURITIES LLC
CROCKER SECURITIES LLC

CRD#: 119523 / SEC#: , 8-65204

BD
Terminated by SEC on 09/05/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/04/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

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

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.

Company Information

CROCKER SECURITIES LLC

CRD#: 119523

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