Articles Tagged with Laurence Knowlton

iStock_00000230608wallst-1-272x300Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that Massachusetts-based UBS Financial Services broker Laurence Knowlton has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Knowlton (CRD# 1383052).

Laurence Knowlton has spent 33 years in the securities industry and has been registered with UBS Financial Services in Boston, Massachusetts since 1995. Previous registrations include Kidder Peabody & Company in New York, New York (1993-1995) and Lehman Brothers in New York, New York (1985-1993). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 31, 1995; Series 3 (National Commodity Futures Examination), which he obtained on September 3, 1995; and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1985. He is a registered broker with 34 US states and territories.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and one denied customer complaint.