John L. 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.
John Laurence Greene, who also goes by John L Greene, John Lawerence Greene, Johnel Greene, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Finance, General
1984 - 1988
Experience
December 12, 2014 - April 23, 2025
UBS FINANCIAL SERVICES INC.
December 11, 2014 - April 23, 2025
UBS FINANCIAL SERVICES INC.
October 23, 2009 - December 12, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - December 12, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 11, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 19, 2006 - August 14, 2006
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - August 14, 2006
WELLS FARGO INVESTMENTS, LLC
January 2, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
April 27, 1993 - January 3, 1995
ESSEX NATIONAL SECURITIES, LLC
October 19, 1988 - February 3, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
Company Information
UBS FINANCIAL SERVICES INC.
Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
Monitor John Greene
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