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BP

Bethany L. Pagnani

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CRD#: 2637677
BP

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.

Bethany Lynn Pagnani was a registered financial professional .

Bethany is a previously registered financial professional and started their career in finance in 2000. Bethany had worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
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

March 14, 2016 - December 31, 2019

ASHTON YOUNG, INC.

BD
CRD#: 2827
BLOOMFIELD HILLS, MI
Past

May 7, 2014 - March 31, 2015

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
WASHINGTON, MI
Past

January 1, 2008 - March 31, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

July 18, 2007 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
ROYAL OAK, MI
Past

January 7, 2005 - June 15, 2007

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BIRMINGHAM, MI
Past

September 20, 2002 - December 3, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

May 2, 2001 - September 3, 2002

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

December 6, 2000 - March 26, 2001

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL

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
IAR
Series 65
Date: 5/6/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/19/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/8/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2000
General Securities Representative Examination

Current Firm

AY
ASHTON YOUNG, INC.
ASHTON YOUNG FINANCIAL SERVICES | MORRISON, MCKEOWN & YOUNG, INC. | ASHTON YOUNG, INC. | ASHTON YOUNG FINANCIAL SERVICES, INC.

CRD#: 2827 / SEC#: , 8-8369

BD
Terminated by SEC on 05/08/2020
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Contact information

Main Address
3278 Wendover, Troy, MI 48084
Mailing Address
Phone number
Established
Michigan since 01/11/1960
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
DONALD G YOUNG IRREVOCABLE TRUSTOWNER
YOUNG, GLEN EDWARDPRESIDENT, TREASURER, CCO, DIRECTOR, TRUSTEE1173732
YOUNG, STEVEN JOSEPHVICE PRESIDENT, SECRETARY1392432

Disclosures

Regulatory Event1
Arbitration1

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

ASHTON YOUNG, INC.

CRD#: 2827

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