Harry C. Young
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.
Harry Culeon Young III, who also goes by Harry Culeon (iii) Young, was a registered financial advisor .
Harry is a previously registered financial advisor and started their career in finance in 1981. Harry had worked at 17 firms and has passed the Series 65, Series 63 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
Experience
May 22, 2006 - June 8, 2011
OPPENHEIMER & CO. INC.
May 22, 2006 - June 8, 2011
OPPENHEIMER & CO. INC.
May 8, 2006 - May 19, 2006
R.T. JONES CAPITAL EQUITIES MANAGEMENT INC.
February 1, 2001 - May 19, 2006
R.T. JONES CAPITAL EQUITIES, INC.
November 17, 2000 - May 19, 2006
R.T. JONES CAPITAL EQUITIES, INC.
September 29, 2000 - November 22, 2000
FIRST ALLIED SECURITIES, INC.
December 24, 1998 - October 26, 2000
D.E. FREY & COMPANY, INC.
August 16, 1996 - January 11, 1999
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 11, 1994 - August 7, 1996
MARK TWAIN BROKERAGE SERVICES, INC.
January 18, 1993 - September 11, 1993
UBS FINANCIAL SERVICES INC.
September 25, 1992 - January 13, 1993
INVESTACORP, INC.
October 18, 1990 - April 12, 1991
APS FINANCIAL CORPORATION
January 24, 1990 - August 3, 1990
MORGAN STANLEY DW INC.
November 27, 1989 - January 29, 1990
FIRSTMONEY SECURITIES CORPORATION
October 24, 1989 - November 27, 1989
SCHAEFER SECURITIES, INC.
January 31, 1989 - November 11, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
July 12, 1988 - December 19, 1988
WACHOVIA SECURITIES, INC.
April 26, 1982 - October 15, 1983
DONALD SHELDON & CO., INC.
December 4, 1981 - July 13, 1988
UMIC, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
