Gregory 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.
Gregory Donald Young, who also goes by Greg Young, Gregory D Young, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1998. Gregory had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2014 - March 29, 2017
SCOTTRADE, INC.
March 1, 2010 - December 31, 2013
FERNWOOD INVESTMENT COUNSEL, LLC
May 5, 2005 - November 23, 2009
CHARLES SCHWAB & CO., INC.
May 5, 2005 - November 23, 2009
CHARLES SCHWAB & CO., INC.
March 9, 2005 - April 19, 2005
TD AMERITRADE, INC.
March 9, 2005 - April 19, 2005
TD AMERITRADE, INC.
January 14, 2004 - August 18, 2004
CHARLES SCHWAB & CO., INC.
January 14, 2004 - August 18, 2004
CHARLES SCHWAB & CO., INC.
April 16, 2003 - July 8, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 2003 - July 8, 2003
IDS LIFE INSURANCE COMPANY
March 20, 2003 - July 8, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
September 13, 1999 - December 31, 2002
CHARLES SCHWAB & CO., INC.
April 24, 1998 - August 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 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.
