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Tracy L. Young

TOUCHSTONE SECURITIES
CINCINNATI, OH 45202
Some features on this profile are disabled
CRD#: 4718924
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Professional summary

Tracy Lynn Young, who also goes by Tracy Lynn Andrews, Tracy L Young, is a registered financial professional currently at TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.

Tracy is registered as a RR (Registered Representative) and started their career in finance in 2004. Tracy has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tracy Lynn Andrews | Tracy L Young

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) - BD

Click below to view Tracy Lynn Young's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 6, 2015 - Present

TOUCHSTONE SECURITIES, INC.

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202
BD
CRD#: 1526
CINCINNATI, OH
Past

November 8, 2013 - April 1, 2014

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
MASON, OH
Past

February 15, 2011 - May 22, 2013

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
CIRCLEVILLE, OH
Past

February 14, 2011 - May 22, 2013

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
CIRCLEVILLE, OH
Past

April 23, 2008 - February 3, 2011

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
CINCINNATI, OH
Past

January 26, 2007 - February 3, 2011

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
CINCINNATI, OH
Past

June 24, 2005 - August 9, 2006

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
WILMINGTON, OH
Past

March 2, 2004 - June 27, 2005

MM ASCEND LIFE INVESTOR SERVICES, LLC

BD
CRD#: 36451
CINCINNATI, OH
Past

January 21, 2004 - February 9, 2004

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Ohio
(7/6/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/21/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/20/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TOUCHSTONE SECURITIES, INC.
TOUCHSTONE SECURITIES, INC.
CONTINENTAL MANAGEMENT, INC. | TOUCHSTONE SECURITIES, INC.

CRD#: 1526 / SEC#: , 8-14052

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

Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Mailing Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Phone number
(513) 362-8000
Established
Nebraska since 02/27/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
IFS FINANCIAL SERVICES, INC.SHAREHOLDER
AARTS, ERIKVP, SENIOR FIXED INCOME STRATEGIST2556961
ALGE, BENJAMIN JPRESIDENT6225581
BRAY, TIMOTHY ALLENDIVISIONAL VICE PRESIDENT1858477
CONNELLY, LINDSAY MICHELLEAVP & ASSISTANT TREASURER7212999
COSTANZA, TIMOTHY JOHNVP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT4471461
HERRON, SARAH SPARKSSECRETARY6905684
JOHNSON, JAY VINCENTVP, CORPORATE FINANCE AND TREASURER6607547
JONES, MICHAEL STEPHENASSISTANT VICE PRESIDENT5537600
KOERNER, RICHARD MICHAELVP, SENIOR ETF SALES SPECIALIST2249223
MCGRUDER, JILL TRIPPDIRECTOR1221720
MOCK, MARY TAYLORSVP & HEAD OF DISTRIBUTION5276399
MORSE, JULIE LYNNSVP, MARKETING6743435
MUSGROVE, JOHN SAVP - ASSISTANT TREASURER6607165
NIEMEYER, JONATHAN DAVIDDIRECTOR5863603
SCOTT, SHAWN MICHAELCHIEF COMPLIANCE OFFICER4673623
STEARNS, TIMOTHY STEVENVP, COMPLIANCE1327230
WIEDENHEFT, TERRIE ANNCHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER2619213
WITTMAN, SCOTTVICE PRESIDENT, TAX7679752
WUEBBLING, DONALD JOSEPHDIRECTOR473438

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

TOUCHSTONE SECURITIES, INC.

TOUCHSTONE SECURITIES, INC.

CRD#: 1526Cincinnati, OH 45202

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