William B. 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.
William Burtch Young was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2011 - July 22, 2020
MARINER GROUP CAPITAL MARKETS, LLC
September 29, 2010 - April 29, 2011
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
September 19, 2002 - May 25, 2006
CITIGROUP GLOBAL MARKETS INC.
May 1, 2001 - April 12, 2002
J.P. MORGAN SECURITIES INC.
April 18, 2001 - May 1, 2001
JPMSI
November 18, 1999 - April 18, 2001
J.P. MORGAN SECURITIES OF TEXAS, INC.
April 30, 1985 - December 2, 1999
CITIGROUP GLOBAL MARKETS INC.
March 23, 1981 - October 15, 1987
MABON, NUGENT & CO.
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
MARINER GROUP CAPITAL MARKETS, LLC
CRD#: 25878 / SEC#: , 8-42116
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
