DY
Doran M. Young
JANNEY MONTGOMERY SCOTT LLC
Pittsburgh, PA 15222
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CRD#: 1220502
DY
Professional summary
Doran Michael Young is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Pittsburgh, Pennsylvania.
Doran is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Doran has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 31, Series 55, Series 15, Series 5, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) FINRA, Serve as industry arbitrator; 1 Liberty Plaza, New York, NY 10006; start date 7/23/2019; serve on panel of arbitrators to resolve FINRA disputes; i am compensated on a per day basis; 1.5hrs/month; Investment-related
CRS (Client Relationship Summary) - RIA
Click below to view Doran Michael Young's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Doran Michael Young's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 7, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: One Ppg Place Suite 2200, Pittsburgh, PA 15222RIA
BD
CRD#: 463
Pittsburgh, PA
Current
May 7, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: One Ppg Place Suite 2200, Pittsburgh, PA 15222RIA
BD
CRD#: 463
Pittsburgh, PA
Past
May 5, 2014 - April 30, 2015
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
WORTHINGTON, OH
Past
April 3, 2014 - April 30, 2015
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
WORTHINGTON, OH
Past
September 22, 2006 - February 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYNE, NJ
Past
March 8, 2006 - February 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYNE, NJ
Past
October 4, 1995 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
NEW YORK, NY
Past
January 16, 1985 - September 29, 1995
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 14, 1984 - December 7, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/5/2020)
RR
Alaska(11/5/2020)
RR
Arizona(11/5/2020)
RR
Arkansas(11/5/2020)
RR
California(5/6/2020)
RR
Colorado(5/6/2020)
RR
Connecticut(5/6/2020)
RR
Delaware(5/6/2020)
RR
District of Columbia(11/5/2020)
RR
Florida(5/6/2020)
RR
Georgia(11/5/2020)
RR
Hawaii(11/5/2020)
RR
Idaho(11/5/2020)
RR
Illinois(5/6/2020)
RR
Indiana(5/15/2015)
RR
Iowa(11/5/2020)
RR
Kansas(5/6/2020)
RR
Kentucky(5/6/2020)
RR
Louisiana(11/5/2020)
RR
Maine(11/5/2020)
RR
Maryland(11/5/2020)
RR
Massachusetts(5/6/2020)
RR
Michigan(5/6/2020)
RR
Minnesota(11/5/2020)
RR
Mississippi(11/5/2020)
RR
Missouri(11/5/2020)
RR
Montana(11/5/2020)
RR
Nebraska(11/5/2020)
RR
Nevada(5/6/2020)
RR
New Hampshire(11/5/2020)
RR
New Jersey(11/5/2020)
RR
New Mexico(11/5/2020)
RR
New York(5/6/2020)
RR
North Carolina(5/7/2020)
RR
North Dakota(11/5/2020)
RR
Ohio(5/7/2015)
IAR
Ohio(5/7/2015)
RR
Oklahoma(11/5/2020)
RR
Oregon(5/6/2020)
RR
Pennsylvania(5/6/2020)
IAR
Pennsylvania(1/20/2021)
RR
Rhode Island(11/5/2020)
RR
South Carolina(5/6/2020)
RR
South Dakota(11/5/2020)
RR
Tennessee(5/6/2020)
RR
Texas(1/30/2019)
IAR
Texas(1/30/2019)
RR
Utah(11/5/2020)
RR
Vermont(11/5/2020)
RR
Virgin Islands(11/5/2020)
RR
Virginia(5/6/2020)
RR
Washington(11/5/2020)
RR
West Virginia(5/6/2020)
RR
Wisconsin(11/5/2020)
RR
Wyoming(11/5/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/12/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 15
Date: 11/19/1993
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 11/9/1993
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/30/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
