Alton L. 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.
Alton L Young, who also goes by Al Young, Alton Young, Alton Lee Young, was a registered financial professional .
Alton is a previously registered financial professional and started their career in finance in 1991. Alton had worked at 11 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 6 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
September 7, 2017 - January 25, 2023
PRUCO SECURITIES, LLC.
September 26, 2012 - October 1, 2013
ONEAMERICA SECURITIES, INC.
August 21, 2012 - October 1, 2013
ONEAMERICA SECURITIES, INC.
September 27, 2010 - December 13, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 2009 - September 17, 2010
LINCOLN INVESTMENT
July 9, 2003 - August 3, 2007
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 5, 1999 - January 10, 2003
NYLIFE SECURITIES LLC
November 22, 1996 - September 21, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 1995 - November 5, 1996
MORGAN STANLEY DW INC.
January 16, 1995 - March 3, 1995
FIRST ASSET MANAGEMENT, INC.
August 24, 1994 - October 4, 1994
GRUNTAL & CO., L.L.C.
November 23, 1992 - May 22, 1993
DICKINSON & CO.
September 20, 1991 - July 16, 1992
H.J. MEYERS & CO., INC.
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
