Dennis A. 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.
Dennis Allen Young, who also goes by Dennis A Young, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1988. Dennis had worked at 6 firms and has passed the Series 63, Series 99TO, Series 72, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2018 - May 10, 2024
LIME TRADING CORP
July 24, 2003 - June 21, 2018
COSSE' INTERNATIONAL SECURITIES, INC.
February 4, 2002 - May 5, 2002
COSSE' INTERNATIONAL SECURITIES, INC.
May 7, 1998 - June 5, 2002
JENCKS & COMPANY LLC
March 8, 1996 - April 30, 2003
ONYX TRADING CORPORATION
May 14, 1990 - November 1, 1993
BANCAMERICA SECURITIES, INC.
November 10, 1988 - October 14, 1989
PUGET SOUND SECURITIES, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
LIME TRADING CORP
CRD#: 11826 / SEC#: , 8-27061
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
