Robert 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.
Robert Miles Young was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 6 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 1991 - September 6, 1996
NBC CAPITAL MARKETS GROUP, INC.
January 1, 1991 - June 4, 1991
VINING-SPARKS IBG, LLC
October 8, 1990 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
September 14, 1987 - October 10, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
July 31, 1986 - November 9, 1987
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
December 15, 1975 - July 21, 1986
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
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
Current Firm
NBC CAPITAL MARKETS GROUP, INC.
CRD#: 18229 / SEC#: , 8-36307
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL BANK OF COMMERCE | 100% STOCKHOLDER | |
| ANDERSON, APRIL SHAWN | CHIEF COMPLIANCE OFFICER | 4749858 |
| BENNETT, THOMAS BRIAN | CO- DIRECTOR OF FIXED INCOME RESEARCH, GENERAL SECURITIES PRINCIPAL | 2785252 |
| DAVIS, SCOTT MITCHELL | SENIOR VICE PRESIDENT AND DIRECTOR OF FIXED INCOME RESEARCH, GENERAL SECURITIES PRINCIPAL | 2934988 |
| EDRINGTON, JAMES WRIGHT | GENERAL SECURITIES PRINCIPAL | 2109073 |
| GILMORE, JOSEPH WADE SR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 831732 |
| GRUBER, SCOTT JAY | DIRECTOR, LIMITED SALES PRINCIPAL, SALES MANAGER | 1146139 |
| MANSBERG, ROY DANIEL | RETAIL GENERAL SECURITIES PRINCIPAL | 1540758 |
| MARTIN, BRADLEY MILES | DIRECTOR, FIN OP, SENIOR VICE PRESIDENT | 3146796 |
| PITTS, JOHN THOMAS JR | DIRECTOR, FIRST VICE PRESIDENT | 2342184 |
| SASLAWSKY, ANDREW MICHAEL | DIRECTOR, FIRST VICE PRESIDENT | 1582545 |
| SCHEIDT, RUDI EGON JR | PRESIDENT, DIRECTOR | 2109131 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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