Thomas M. Young

7TH HARVEST INVESTMENTS

Dallas, TX 75248

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CRD#: 475230

Professional summary

Thomas Marc Young, who also goes by Thomas Marc Young III, Thomas Mark Young III, Thomas Mark Young, is a registered financial advisor currently at 7TH HARVEST INVESTMENTS located in Dallas, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Marc Young Iii | Thomas Mark Young Iii | Thomas Mark 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) - RIA

Click below to view Thomas Marc Young's 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

May 20, 2017 - Present

7TH HARVEST INVESTMENTS

Office #1: 17250 Dallas Parkway, Dallas, TX 75248

RIA

CRD#: 139792

Dallas, TX

Past

February 27, 2017 - May 16, 2017

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

RICHARDSON, TX

Past

January 21, 1994 - May 16, 2017

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

RICHARDSON, TX

Past

August 18, 1986 - December 21, 1993

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

November 22, 1982 - August 28, 1986

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

March 21, 1980 - October 30, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

August 14, 1978 - February 2, 1980

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 18, 1978 - August 27, 1978

LOEB PARTNERS

CRD#: 7534

Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

September 23, 1976 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

April 19, 1973 - September 19, 1976

A. G. EDWARDS & SONS, INC.

CRD#: 4

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(5/20/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/27/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 5/24/1984

Foreign Currency Options Examination

General Industry/Product Exam

PC

Date: 8/1/1980

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 4/14/1973

Registered Representative Examination

Current Firm

7TH HARVEST INVESTMENTS

7TH HARVEST INVESTMENTS | LEGACYTEXAS WEALTH ADVISORS, LLC | LEGACYTEXAS WEALTH ADVISORS | LEGACY TEXAS WEALTH ADVISORS, LLC

CRD#: 139792 / SEC#: 801-68997

RIA

Registered Investment Advisory firm - (4/22/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/10/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

17250 Dallas Parkway, Dallas, TX 75248

Mailing Address

Phone number

(972) 231-1525

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	224
AUM (Assets Under Management)	$ 77,958,742

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.

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Firm Stability Insights

Thomas M. Young

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Marc Young's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

A. G. EDWARDS & SONS, INC.

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2017

Series 63

Date: 4/18/1983

SIE

Date: 5/16/2017

Series 15

Date: 5/24/1984

PC

Date: 8/1/1980

Series 1

Date: 4/14/1973

Current Firm

7TH HARVEST INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

7TH HARVEST INVESTMENTS

TRUST BUT VERIFY

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