Philip M. 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.
Philip Maurice Young, who also goes by Phil Young, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1972. Philip had worked at 12 firms and has passed the Series 63, Series 3, Series 5, Series 27 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 1994 - May 11, 1994
SAMCO FINANCIAL SERVICES, INC.
September 10, 1993 - September 17, 1993
PRINCETON AMERICAN EQUITIES CORPORATION
September 17, 1992 - July 26, 1993
PRINCETON AMERICAN EQUITIES CORPORATION
January 16, 1992 - August 10, 1992
PRINCETON AMERICAN EQUITIES CORPORATION
January 24, 1991 - October 16, 1991
MONACO SECURITIES, INC.
July 6, 1990 - January 15, 1991
PAULSON INVESTMENT COMPANY LLC
November 10, 1989 - April 24, 1990
FIRST AMERICAN BILTMORE SECURITIES, INC.
September 23, 1988 - November 10, 1989
CENPAC SECURITIES CORP.
February 22, 1988 - May 23, 1988
MONACO SECURITIES, INC.
September 5, 1985 - July 22, 1987
PENTAD SECURITIES, INC.
November 1, 1984 - October 3, 1985
MONACO SECURITIES, INC.
October 19, 1981 - November 23, 1984
YOUNG, SMITH & PEACOCK, INC.
July 12, 1979 - December 24, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 27, 1979 - June 29, 1979
PHIL YOUNG SECURITIES, INC
November 7, 1978 - June 28, 1979
CONTINENTAL AMERICAN SECURITIES, INC.
July 30, 1975 - December 7, 1978
PHIL YOUNG SECURITIES, INC
February 19, 1974 - December 7, 1974
YOUNG, SMITH & PEACOCK, INC.
August 8, 1972 - April 4, 1974
AMT SECURITIES
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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationF04
Date: 6/28/1975
Financial Principal ExaminationCurrent Firm
SAMCO FINANCIAL SERVICES, INC.
CRD#: 30108 / SEC#: , 8-44713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAMCO HOLDINGS, INC, | STOCKHOLDER | |
| ALLEN, STANLEY JAMES JR | TRES, SROP, CROP, CCO, GS PRINCIPAL, DIRECTOR | 1243941 |
| BRANUM, PAULA DEANNA | MUNI BOND PRINCIPAL | 1000475 |
| BURRELLGWYDYR, DIANA LAMB SQUIRE | RIA MANAGING DIRECTOR | 2482363 |
| MALDONADO, OLGA INEZ | FIN OP | 1974097 |
| SCHROEDER, JOHN ALEXANDER | VICE PRESIDENT- GS PRINCIPAL-DIRECTOR | 1030111 |
| YEE, ALBERT | PRESIDENT- GS PRINCIPAL-DIRECTOR | 474353 |
Disclosures
| Regulatory Event | 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.
