Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Charles Young is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. John has been in the industry since 1996 and holds several licenses and certifications. John has worked for several firms including Eaton Vance Distributors, Inc., OppenheimerFunds Distributor, Inc., Pioneer Funds Distributor, Inc., and Van Kampen Funds Inc. John is licensed in 28 states and is a specialist in investment banking, portfolio management, and other related areas. John is a member of the Financial Industry Regulatory Authority (FINRA) and is committed to providing clients with high-quality investment advice and service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
04/28/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
MA
01/31/2011 - 04/21/2015
EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)
NY
06/06/2003 - 03/01/2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
MA
01/04/2002 - 06/05/2003
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
TX
08/08/1996 - 11/29/2001
VAN KAMPEN FUNDS INC. (HOUSTON TX)
BOTH
Issued 05/31/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/18/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/09/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 10/21/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/07/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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