Charles R. 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.
Charles Richard Young, who also goes by Charles R Young, Charles Young, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2010. Charles had worked at 7 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
May 8, 2017 - March 8, 2018
SCOTTRADE, INC.
May 22, 2015 - June 15, 2016
HARRISDIRECT LLC
May 22, 2015 - June 15, 2016
E*TRADE SECURITIES LLC
January 12, 2015 - May 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 2014 - May 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2011 - April 17, 2014
NORTHERN TRUST SECURITIES, INC.
May 28, 2010 - May 24, 2011
NEUBERGER BERMAN BD LLC
January 4, 2010 - May 24, 2011
NEUBERGER BERMAN BD LLC
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
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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