Shaun D. 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.
Shaun Darnell Young was a registered financial professional .
Shaun is a previously registered financial professional and started their career in finance in 1997. Shaun had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2015 - April 18, 2016
TRUSTMONT FINANCIAL GROUP, INC.
May 22, 2007 - August 10, 2016
MONTICELLO INVESTMENT SERVICES, INC.
November 7, 2002 - December 5, 2003
HBH ADVISORS, LLC
August 9, 2001 - October 30, 2001
FAROAH SECURITIES CORP.
July 9, 2001 - November 4, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
March 16, 2001 - October 1, 2001
WEALTHSENSE SECURITIES LLC
March 19, 1999 - November 7, 2001
INDEPENDENT BROKERAGE NETWORK SECURITIES, L.L.C.
June 27, 1997 - July 23, 2001
WORLD SECURITIES, INC.
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
TRUSTMONT FINANCIAL GROUP, INC.
CRD#: 18312 / SEC#: , 8-36439
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOCHINEZ, LACEY M | OWNER | 5809867 |
| DOCHINEZ, PETER DANIEL | OWNER | 6314091 |
| ABBOTT DECAROLIS, LAURA JEAN | OWNER/REGISTERED REPRESENTATIVE | 1523919 |
| DOCHINEZ, CLAUDIA ANN | OWNER | |
| DOCHINEZ, PETER DANIEL | OWNER | 1062112 |
| GIONTA, PAUL V | OWNER | |
| HEBERT, GEORGE PHILLIP | OWNER | 2309032 |
| HLADEK, ANTHONY CHARLES | PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER | 2700432 |
| PETRUCCI, MARY LOUISE | OWNER/REGISTERED REPRESENTATIVE | 2980671 |
| AULT, JAMES DANIEL | OWNER | 1439447 |
| BARZAK, DONALD JOHN | OWNER | 1856590 |
| HIXENBAUGH, MARY LYNNE | CHIEF COMPLIANCE OFFICER | 5623080 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
