Thomas 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.
Thomas Young, who also goes by Thomas Alan Young, Tom Young, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 10 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2017 - June 12, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
May 8, 2017 - June 12, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2016 - March 10, 2017
KESTRA ADVISORY SERVICES, LLC
October 14, 2003 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
October 14, 2003 - March 10, 2017
KESTRA INVESTMENT SERVICES, LLC
April 3, 2003 - August 25, 2003
WORTHINGTON SECURITIES, L.L.C.
June 7, 2000 - September 10, 2001
KERSHNER TRADING GROUP, LLC
May 25, 1999 - April 2, 2003
PROTRADER SECURITIES L.P.
October 23, 1997 - May 22, 1998
KESTRA INVESTMENT SERVICES, LLC
March 11, 1991 - November 10, 1995
REALIZED FINANCIAL, INC.
January 23, 1990 - June 13, 1990
PERSHING LLC
August 28, 1986 - January 15, 1990
BEECHWOOD SECURITIES CORP.
October 22, 1985 - March 10, 1986
WALL STREET ACCESS
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
