Kathryn L. 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.
Kathryn Louise Young, CFP®, who also goes by Kathryn Louise Crow, Crow Young, Kathy Young, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1987. Kathryn had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2016 - December 31, 2017
MUTUAL SECURITIES, INC.
November 25, 2015 - July 5, 2018
PETSO FINANCIAL CONSULTANTS LLC
March 28, 2005 - December 31, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 15, 2002 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 16, 2001 - December 31, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 4, 1990 - March 16, 2001
THE O.N. EQUITY SALES COMPANY
March 11, 1987 - October 3, 1990
WADDELL & REED
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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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