Andre P. 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.
Andre Paul Young, who also goes by Paul Young, was a registered financial advisor .
Andre is a previously registered financial advisor and started their career in finance in 1997. Andre had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2012 - April 29, 2013
SOURCE CAPITAL GROUP, INC.
August 20, 2012 - April 29, 2013
SOURCE CAPITAL GROUP, INC.
November 20, 2009 - August 15, 2012
MSI FINANCIAL SERVICES, INC.
November 12, 2009 - August 15, 2012
MSI FINANCIAL SERVICES, INC.
August 13, 2007 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
August 13, 2007 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
May 3, 2002 - June 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 3, 2002 - June 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 12, 1998 - May 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 30, 1997 - May 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
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
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
