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Sperry R. Younger

Some features on this profile are disabled
CRD#: 2771029
SY

Professional summary

Sperry Randall Younger was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Sperry is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Sperry had worked at 14 firms, which includes HB SECURITIES LLC, AVENIR FINANCIAL GROUP, ROTHSCHILD LIEBERMAN LLC, EASTGATE SECURITIES LLC, NMS CAPITAL SECURITIES LLC, JOHN CARRIS INVESTMENTS LLC, CHARLES MORGAN SECURITIES INC., THINKEQUITY LLC, D. WECKSTEIN & CO. INC., HORNBLOWER & WEEKS INC., DUPONT SECURITIES GROUP INC., FAB SECURITIES OF AMERICA INC., ROYAL HUTTON SECURITIES CORP., TOLUCA PACIFIC SECURITIES CORP..

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

October 29, 2015 - September 16, 2016

HB SECURITIES, LLC

BD
CRD#: 140356
New York, NY
Past

June 2, 2015 - August 19, 2015

AVENIR FINANCIAL GROUP

BD
CRD#: 148490
NEW YORK, NY
Past

July 23, 2014 - April 22, 2015

ROTHSCHILD LIEBERMAN LLC

BD
CRD#: 10030
New York, NY
Past

July 23, 2014 - June 11, 2015

EASTGATE SECURITIES, LLC

BD
CRD#: 146671
NEW YORK, NY
Past

October 8, 2012 - April 9, 2014

NMS CAPITAL SECURITIES, LLC

BD
CRD#: 107401
NEW YORK, NY
Past

May 11, 2010 - October 12, 2012

JOHN CARRIS INVESTMENTS LLC

BD
CRD#: 145767
HOBOKEN, NJ
Past

May 9, 2006 - May 28, 2010

CHARLES MORGAN SECURITIES, INC.

BD
CRD#: 138887
NEW YORK, NY
Past

January 10, 2003 - June 8, 2006

THINKEQUITY LLC

BD
CRD#: 20996
NEW YORK, NY
Past

November 11, 2002 - January 22, 2003

D. WECKSTEIN & CO., INC.

BD
CRD#: 20338
NEW YORK, NY
Past

September 20, 1999 - September 4, 2002

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY
Past

August 27, 1999 - September 21, 1999

DUPONT SECURITIES GROUP, INC.

BD
CRD#: 42305
NEW YORK, NY
Past

January 6, 1999 - September 2, 1999

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

February 6, 1997 - September 10, 1997

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

October 21, 1996 - November 1, 1996

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA

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: 10/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/29/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/28/1999
General Securities Principal Examination

Current Firm

HS
HB SECURITIES, LLC
HB SECURITIES, LLC | NMS FINANCIAL SERVICES, LLC | NMS CAPITAL ADVISORS, LLC. | MITRE GROUP LLC | J&C GLOBAL SECURITIES LLC

CRD#: 140356 / SEC#: , 8-67307

BD
Terminated by SEC on 02/15/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 01/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
J&C GLOBAL HOLDINGS, INC.HOLDING COMPANY
NMS FIN HOLDINGS LLCOWNER
DE LUZ, MICHAEL KCEO/CCO2526894
DOOLEY, BRADFORD RFINOP4308078

Disclosures

Regulatory Event2

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

HB SECURITIES, LLC

CRD#: 140356

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