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Alec W. Young

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CRD#: 4469468
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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.

Alec William Young was a registered financial professional .

Alec is a previously registered financial professional and started their career in finance in 2002. Alec had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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

September 22, 2021 - March 2, 2022

WALTON RE SECURITIES, LLC

BD
CRD#: 172024
SCOTTSDALE, AZ
Past

April 29, 2020 - December 21, 2020

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

September 2, 2014 - September 20, 2019

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

January 2, 2008 - October 29, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

October 31, 2005 - September 5, 2014

OSAIC SERVICES, INC.

RIA
CRD#: 133763
PHOENIX, AZ
Past

October 31, 2005 - September 5, 2014

OSAIC SERVICES, INC.

BD
CRD#: 133763
PHOENIX, AZ
Past

August 17, 2005 - November 4, 2005

SUNAMERICA SECURITIES, INC.

RIA
CRD#: 20068
PHOENIX, AZ
Past

January 12, 2005 - October 31, 2005

SPELMAN & CO., INC.

BD
CRD#: 10232
PHOENIX, AZ
Past

January 12, 2005 - October 31, 2005

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

October 28, 2004 - December 31, 2004

SPELMAN & CO., INC.

BD
CRD#: 10232
PHOENIX, AZ
Past

October 28, 2004 - December 31, 2004

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

October 28, 2004 - December 8, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

July 7, 2004 - October 27, 2004

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

April 22, 2002 - March 13, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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: 5/9/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/8/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/28/2005
General Securities Principal Examination

Current Firm

WR
WALTON RE SECURITIES, LLC
EI CAPITAL DISTRIBUTORS, LLC | WALTON RE SECURITIES, LLC | ROKA CAPITAL DISTRIBUTORS, LLC | GRT SECURITIES, LLC

CRD#: 172024 / SEC#: , 8-69494

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
8800 N Gainey Center Drive Suite 345, Scottsdale, AZ 85258
Mailing Address
8800 N Gainey Center Drive Suite 345, Scottsdale, AZ 85258
Phone number
(480) 586-9258
Established
Delaware since 03/05/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALTON INTERNATIONAL GROUP (S) PTE LTD.FOREIGN ENTITY
BARENBOIM, LEONARDCCO, AML OFFICER1523181
GEORGE, KENNETH RONALDPOO/CFO/FINOP2643369
HUBBARD, KATHLEENPRESIDENT5564316

Disclosures

Regulatory Event1

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

WALTON RE SECURITIES, LLC

CRD#: 172024

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