AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CF

Charles Q. Foley

Some features on this profile are disabled
CRD#: 2220264
CF

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.

Charles Quentin Foley JR, who also goes by Charles Quentin (jr) Foley, Ki Foley Jr, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 12 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Quentin (jr) Foley | Ki Foley Jr

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 1, 2020 - October 7, 2022

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

October 5, 2018 - December 16, 2019

ERG SECURITIES (US) LLC

BD
CRD#: 121057
NORWALK, CT
Past

September 7, 2013 - November 4, 2016

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

January 21, 2011 - September 14, 2012

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

June 4, 2010 - December 20, 2010

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

June 7, 2004 - October 6, 2009

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

October 5, 2001 - May 26, 2004

NABSECURITIES, LLC

BD
CRD#: 47390
NEW YORK, NY
Past

October 1, 1997 - January 19, 1999

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

June 10, 1996 - October 14, 1996

FMG SECURITIES CORP.

BD
CRD#: 38092
Past

October 3, 1994 - June 7, 1996

FLEET ENTERPRISES, INC.

BD
CRD#: 17434
NEW YORK, NY
Past

June 21, 1994 - January 27, 1995

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

April 8, 1992 - July 23, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/18/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/7/1992
General Securities Representative Examination

Current Firm

YA
YOUNG AMERICA CAPITAL, LLC
YOUNG AMERICA CAPITAL, LLC

CRD#: 150443 / SEC#: , 8-68260

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
141 East Boston Post Road, Mamaroneck, NY 10543
Mailing Address
141 East Boston Post Road, Mamaroneck, NY 10543
Phone number
(914) 777-0100
Established
Delaware since 05/08/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORMANEK, PETER JAMESMANAGING MEMBER
FORMANEK, PETER JAMESFINANCIAL PRINCIPAL
FORMANEK, PETER JAMESCFO
FORMANEK, PETER JAMESCCO, AMLCO

Disclosures

Regulatory Event1

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.

Company Information

YOUNG AMERICA CAPITAL, LLC

CRD#: 150443

TRUST BUT VERIFY

Monitor Charles Foley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.