Thomas Meares Young | Financial Professional

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.

Thomas Meares Young, who also goes by Thom Young, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 5, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Thom Young

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 16, 2020 - February 4, 2021

CAPITAL MARKETS IQ, LLC

RIA

CRD#: 134921

Atlanta, GA

Past

November 20, 2012 - May 19, 2015

CAROLINA FINANCIAL SECURITIES, LLC

BD

CRD#: 41970

BREVARD, NC

Past

February 15, 2007 - November 22, 2011

OPTSECURITIES, LLC

BD

CRD#: 47529

CHARLOTTE, NC

Past

July 25, 1996 - July 11, 2002

DEUTSCHE BANK SECURITIES INC.

BD

CRD#: 2525

NEW YORK, NY

Past

October 19, 1983 - May 21, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD

CRD#: 816

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/13/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

IAR

Series 66

Date: 11/20/2007

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 1/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 5/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 5

Date: 5/4/1984

Interest Rate Options Examination

General Industry/Product Exam

RR

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/15/2008

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 8

Date: 5/28/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Arlington, TX

Mailing Address

2810 N Church St Pmb 52811, Wilmington, DE 19802

Phone number

(310) 882-6380

Established

Firm type

Fiscal year end

# of Employees

26

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 450,873,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/28/2025	Cover Page	Report
08/22/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Thomas M. Young

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAROLINA FINANCIAL SECURITIES, LLC

OPTSECURITIES, LLC

DEUTSCHE BANK SECURITIES INC.

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

CAPITAL MARKETS IQ, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2020

Series 66

Date: 11/20/2007

Series 63

Date: 1/30/1984

SIE

Date: 5/19/2015

Series 5

Date: 5/4/1984

Series 7

Date: 10/15/1983

Series 24

Date: 1/15/2008

Series 8

Date: 5/28/1991

Current Firm

CAPITAL MARKETS IQ, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL MARKETS IQ, LLC

TRUST BUT VERIFY

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