Robert E. 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.
Robert Emerson Young, who also goes by Rob Young, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2014 - October 10, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 15, 2012 - February 7, 2013
EDWARD JONES
July 6, 2012 - February 7, 2013
EDWARD JONES
July 15, 2005 - November 29, 2005
AT INVESTOR SERVICES, INC.
July 6, 1999 - July 15, 2005
GPC SECURITIES, INC.
May 21, 1998 - January 30, 2003
INVESCO ADVISERS, INC.
November 14, 1997 - December 31, 1997
INVESCO DISTRIBUTORS, INC.
August 22, 1997 - September 20, 1997
GPC SECURITIES, INC.
October 30, 1996 - December 17, 1996
BROOKWOOD SECURITIES PARTNERS, LLC
September 24, 1991 - August 19, 1992
RAYMOND JAMES & ASSOCIATES, INC.
August 8, 1990 - July 24, 1991
BARISTON SECURITIES, INC.
June 10, 1989 - January 30, 1990
FFMC SECURITIES, INC.
November 25, 1988 - February 28, 1989
CIS INVESTMENT CORPORATION
August 5, 1987 - April 19, 1988
BLUESTONE SECURITIES CORPORATION
May 8, 1987 - June 19, 1987
MARCH SECURITIES CORPORATION
February 27, 1985 - August 11, 1986
WINTHROP SECURITIES CO., INC.
June 15, 1984 - December 27, 1984
TECHNOLOGY FUNDING SECURITIES CORPORATION
October 28, 1980 - March 21, 1984
LANDSING CAPITAL CORPORATION
May 1, 1972 - September 24, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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 1
Date: 4/24/1972
Registered Representative ExaminationCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
