Steven B. 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.
Steven Bruce Young was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2005. Steven had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2015 - March 8, 2022
CHARLES SCHWAB INVESTMENT ADVISORY, INC
June 19, 2012 - February 3, 2014
CURIAN CLEARING, LLC
August 23, 2005 - February 3, 2014
CURIAN CAPITAL, LLC
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
CHARLES SCHWAB INVESTMENT ADVISORY, INC
CRD#: 151739 / SEC#: 801-70737
Contact information
Regulatory assets under management
| Total Number of Accounts | 495,347 |
| AUM (Assets Under Management) | $ 66,080,242,938 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2021 |
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.
