Alison B. Young

RABO SECURITIES USA

NEW YORK, NY 10036

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CRD#: 5117705

Professional summary

Alison Beth Young is a registered financial professional currently at RABO SECURITIES USA, INC. located in New York, New York.

Alison is registered as a RR (Registered Representative) and started their career in finance in 2006. Alison has worked at 4 firms and has passed the Series 66, Series 79TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Alison Beth 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 4, 2017 - Present

RABO SECURITIES USA, INC.

Office #1: 151 West 42nd Street 8th Floor, New York, NY 10036

CRD#: 122657

NEW YORK, NY

Past

August 25, 2015 - July 22, 2016

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

March 29, 2011 - August 21, 2015

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

October 14, 2009 - August 21, 2015

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

July 11, 2006 - September 28, 2009

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

State Registrations and Notice Filings

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

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

New Jersey
(6/25/2024)

New York
(5/4/2017)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/13/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/26/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/12/2010

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RABO SECURITIES USA, INC.

RABO SECURITIES USA, INC. | RABO SECURITIES USA, INCORPORATED

CRD#: 122657 / SEC#: , 8-65525

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

151 West 42nd Street 8th Floor, New York, NY 10036

Mailing Address

151 West 42nd Street 8th Floor, New York, NY 10036

Phone number

(212) 808-2548

Established

Delaware since 03/22/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
UTRECHT-AMERICA HOLDINGS, INC	SOLE SHAREHOLDER
AMIN, SHREYA	SECRETARY	7368182
BASSETT, DAVID FRANCIS	CHAIRMAN	2802027
CHESTER, WILLIAM PETER	DIRECTOR	5868288
DEMAZURE PELLETIER, CHRISTINE MARIE	DIRECTOR	5481370
KITTEL, CHRISTOPHER FREDERICK	CHIEF COMPLIANCE OFFICER	2718043
KORMANEK, SHAWN PATRICK	DIRECTOR	7310810
LAMPER, KATHERINE S	DIRECTOR	5202959
LAZAROV, DUSAN OBRAD	DIRECTOR	7904295
MARTENS, ANDREA MARIE	FINANCIAL AND OPERATIONS PRINCIPAL	1187593
PASDAR, NADER	CHIEF EXECUTIVE OFFICER AND DIRECTOR	4702711

Red Flags

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Alison B. Young

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alison Beth Young's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMERZ MARKETS LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

LAZARD ASSET MANAGEMENT SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2006

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/8/2006

Series 10

Date: 10/26/2010

Series 9

Date: 7/12/2010

Series 24

Date: 12/13/2006

FINRA

Current Firm

RABO SECURITIES USA, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RABO SECURITIES USA, INC.

TRUST BUT VERIFY

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