Joe Greenberg: Did Desert Financial Advisor Make Unauthorized Trades?

Mesa, Arizona financial advisor Joe Greenberg (CRD# 1276521) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services and a representative of Desert Financial. 

Mr. Greenberg’s BrokerCheck report discloses one recent investor complaint. Filed in July 2022, it alleges that as a representative of Raymond James Financial Services, he executed unauthorized trades involving equity products. The complaint alleged damages of $145,383.57 and was denied by the firm. When a complaint is denied, for reference, this is not necessarily mean it has no basis in fact. Investor can still pursue a recovery through other actions, like FINRA arbitration claims.

According to the Financial Industry Regulatory Authority, Joe Greenberg holds 30 years of securities industry experience. Based in Mesa, Arizona, he has been a broker and an investment advisor with Raymond James Financial Services since 2019. He is a representative of Desert Financial. His past registrations include LPL Financial (Phoenix, Arizona; 2004-2019), Wells Fargo Investments (San Francisco, California; 2004), Linsco/Private Ledger Corporation (Fort Mill, South Carolina; 2001-2004), Pruco Securities (Newark, New Jersey; 2000-2001), Banc of America Investment Services (Boston, Massachusetts; 1999-2000), BA Investment Services (Oakland, California; 1997-1999), and ISFA Corporation (Appleton, Wisconsin; 1984-1989). His credentials include the passage of seven securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He holds 37 state licenses. (Information current as of August 26, 2022.)

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