Joshua Young

OAK & REED CAPITAL MANAGEMENT

Brooklyn, NY 11201

Some features on this profile are disabled

CRD#: 5320533

Professional summary

Joshua Young, who also goes by Joshua Stephen Young, is a registered financial advisor currently at OAK & REED CAPITAL MANAGEMENT, LLC located in Brooklyn, New York.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joshua has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua Stephen 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 Joshua 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

June 16, 2022 - Present

OAK & REED CAPITAL MANAGEMENT, LLC

Office #1: 122 Ashland Place Apt 16j, Brooklyn, NY 11201

RIA

CRD#: 158867

Brooklyn, NY

Past

October 2, 2007 - December 13, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

October 2, 2007 - December 13, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 12, 2007 - July 20, 2007

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

April 19, 2007 - July 20, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

New York
(6/16/2022)

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 66

Date: 6/1/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/18/2007

General Securities Representative Examination

Current Firm

OAK & REED CAPITAL MANAGEMENT, LLC

CRD#: 158867 / SEC#: 801-72921

RIA

Registered Investment Advisory firm - (10/15/2012 Terminated)

New York

Registered Investment Advisory firm - (10/12/2012 Approved)

Texas

Registered Investment Advisory firm - (6/15/2012 Conditional Restricted)

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).

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

122 Ashland Place Apt 16j, Brooklyn, NY 11201

Mailing Address

Phone number

(646) 926-2573

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 19,000,000

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN

Elizabeth Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

IAR

Summit, NJ

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua Young

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

OAK & REED CAPITAL MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2007

Series 7

Date: 4/18/2007

Current Firm

OAK & REED CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OAK & REED CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors