JY
James R. Young
ARES MANAGEMENT CAPITAL MARKETS LLC
NEW YORK, NY 10167
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CRD#: 6855041
JY
Professional summary
James Robert Herries Young, who also goes by James Young, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2018. James has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 79 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James 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.
CRS (Client Relationship Summary) - BD
Click below to view James Robert Herries 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®
NoneExperience
Current
July 3, 2019 - Present
ARES MANAGEMENT CAPITAL MARKETS LLC
Office #1: 245 Park Avenue - 44th Floor, New York, NY 10167BD
CRD#: 166219
NEW YORK, NY
Past
August 1, 2018 - June 11, 2019
EVERCORE GROUP L.L.C.
BD
CRD#: 42405
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/5/2025)
RR
Alaska(8/5/2025)
RR
Arizona(8/5/2025)
RR
Arkansas(8/5/2025)
RR
California(8/5/2025)
RR
Colorado(8/5/2025)
RR
Connecticut(8/5/2025)
RR
Delaware(8/5/2025)
RR
District of Columbia(8/5/2025)
RR
Florida(8/5/2025)
RR
Georgia(8/5/2025)
RR
Hawaii(8/5/2025)
RR
Idaho(8/5/2025)
RR
Illinois(8/5/2025)
RR
Indiana(8/5/2025)
RR
Iowa(8/5/2025)
RR
Kansas(8/5/2025)
RR
Kentucky(8/5/2025)
RR
Louisiana(8/5/2025)
RR
Maine(8/5/2025)
RR
Maryland(8/5/2025)
RR
Massachusetts(8/5/2025)
RR
Michigan(8/5/2025)
RR
Minnesota(8/5/2025)
RR
Mississippi(8/5/2025)
RR
Missouri(8/5/2025)
RR
Montana(8/5/2025)
RR
Nebraska(8/5/2025)
RR
Nevada(8/5/2025)
RR
New Hampshire(8/5/2025)
RR
New Jersey(8/5/2025)
RR
New Mexico(8/5/2025)
RR
New York(7/3/2019)
RR
North Carolina(8/5/2025)
RR
North Dakota(8/5/2025)
RR
Ohio(8/5/2025)
RR
Oklahoma(8/5/2025)
RR
Oregon(8/5/2025)
RR
Pennsylvania(8/5/2025)
RR
Rhode Island(8/5/2025)
RR
South Carolina(8/5/2025)
RR
South Dakota(8/5/2025)
RR
Tennessee(8/5/2025)
RR
Texas(8/5/2025)
RR
Utah(8/5/2025)
RR
Vermont(8/5/2025)
RR
Virginia(8/5/2025)
RR
Washington(8/5/2025)
RR
West Virginia(8/5/2025)
RR
Wisconsin(8/5/2025)
RR
Wyoming(8/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/31/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
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.
