Stephen J. 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.
Stephen Joseph Young, who also goes by Steve Young, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2015 - April 10, 2019
WELLS NELSON & ASSOCIATES, L.L.C.
June 10, 2009 - December 28, 2015
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
October 17, 2005 - February 20, 2009
SAMCO CAPITAL MARKETS, INC.
May 14, 2004 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
August 27, 2003 - May 19, 2004
BOK FINANCIAL SECURITIES, INC.
April 18, 1985 - July 8, 2003
MORGAN STANLEY DW INC.
March 20, 1985 - July 8, 2003
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WELLS NELSON & ASSOCIATES, L.L.C.
CRD#: 104030 / SEC#: , 8-52490
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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