Nelson Young

EXOS ASSET MANAGEMENT LLC

NEW YORK, NY 10001

Some features on this profile are disabled

CRD#: 1564217

Professional summary

Nelson Young is a registered financial advisor currently at EXOS ASSET MANAGEMENT LLC located in New York, New York and EXOS SECURITIES LLC located in New York, New York.

Nelson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Nelson has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.

Portfolio Manager, Exos Asset Management LLC, invest related, asset management business, 8 hrs/mo - 8 during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nelson Young's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 16, 2024 - Present

EXOS ASSET MANAGEMENT LLC

Office #1: 35 W 35th Street Fifth Floor, New York, NY 10001

RIA

CRD#: 305706

NEW YORK, NY

Current

February 13, 2019 - Present

EXOS SECURITIES LLC

Office #1: 35 W 35th Street Fifth Floor, New York, NY 10001Office #2: 1370 Broadway Suite 1450, New York, NY 10018

CRD#: 298276

NEW YORK, NY

Past

October 8, 2009 - March 12, 2013

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

February 9, 2009 - September 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 9, 2009 - September 29, 2009

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 10, 2005 - February 9, 2009

MERRILL LYNCH GOVERNMENT SECURITIES INC.

CRD#: 19693

NEW YORK, NY

Past

April 27, 2005 - February 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 19, 1994 - March 23, 2005

MORGAN STANLEY MARKET PRODUCTS INC.

CRD#: 19794

NEW YORK, NY

Past

October 5, 1994 - March 23, 2005

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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".

EXOS ASSET MANAGEMENT LLC

CRD#: 305706 / SEC#: 801-119726

RIA

Registered Investment Advisory firm - (11/2/2020 Approved)

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.

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

New York
(2/26/2019)

IAR

New York
(9/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/10/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/4/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EXOS ASSET MANAGEMENT LLC

CRD#: 305706 / SEC#: 801-119726

RIA

Registered Investment Advisory firm - (11/2/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

35 W 35th Street Fifth Floor, New York, NY 10001

Mailing Address

Phone number

(646) 814-0996

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXOS ASSET MANAGEMENT LLC (2025) (2/27/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 99,530,296

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	10/1/2020

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nelson Young

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nelson Young's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXOS SECURITIES LLC

NATWEST MARKETS SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

MERRILL LYNCH GOVERNMENT SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY MARKET PRODUCTS INC.

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

EXOS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2024

Series 63

Date: 1/4/2019

SIE

Date: 12/5/2018

Series 7

Date: 10/4/1994

Series 24

Date: 10/3/2019

FINRA

Current Firm

EXOS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

EXOS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors