Jeffrey C. 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.
Jeffrey Chambers Young was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 13 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, SIE, Series 87, Series 55, Series 7, Series 53, 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
November 12, 2020 - March 10, 2022
CETERA INVESTMENT ADVISERS LLC
April 20, 2020 - March 10, 2022
CETERA INVESTMENT SERVICES LLC
April 20, 2020 - March 10, 2022
CETERA FINANCIAL SPECIALISTS LLC
July 25, 2017 - November 2, 2017
GIRARD SECURITIES, INC.
July 25, 2017 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
May 24, 2017 - March 10, 2022
CETERA ADVISORS LLC
February 28, 2017 - March 10, 2022
CETERA WEALTH SERVICES, LLC
July 17, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
January 26, 2007 - July 17, 2012
FIRST ALLIED SECURITIES, INC.
October 31, 1997 - March 10, 2022
FIRST ALLIED SECURITIES, INC.
November 21, 1996 - October 16, 1997
FIRST WALL STREET CORP.
August 15, 1995 - November 8, 1996
FAB SECURITIES OF AMERICA, INC.
August 11, 1994 - August 11, 1995
ROBERT W. BAIRD & CO. INCORPORATED
February 12, 1993 - August 12, 1994
DICKINSON & CO.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 55
Date: 3/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
