Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based UBS Financial Services broker/adviser Patrick Donohue has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Donohue (CRD# 1029917).
Patrick Donohue has spent 36 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 2012. Previous registrations include Merrill Lynch in New York, New York (1988-2012); Shearson Lehman Hutton (1988); EF Hutton & Company (1984-1988); and Merrill Lynch (1982-1984). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 17, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 26, 1983; Series 5 (Interest Rate Options Examination), which he obtained on March 2, 1982; and Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982. He is a registered broker and investment adviser with 24 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Indiana, Maine, Massachusetts, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington, and Wisconsin.
According to his BrokerCheck report, he has received four customer complaints and two unsatisfied judgments or liens.