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Stephen David Unterhalter

Young America Capital, LLC

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About Stephen David Unterhalter

Stephen David Unterhalter is a financial advisor who is currently registered with Young America Capital, LLC. Stephen has over 20 years of experience in the financial industry. Stephen began his career in 1976 as a representative for Thomson McKinnon Securities Inc. Stephen has held various positions with several firms, including CS First Boston Corporation, R.D. Smith & Company, Inc., and Muzinich & Co., Inc. Stephen holds Series 7, 24, 63, 82TO and SIE licenses.

Firm Information

Stephen Unterhalter is currently registered with Young America Capital, LLC. Young America Capital, LLC is a Limited Liability Company formed in May 2000. The firm is registered in 28 states and holds one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

49

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Stephen Unterhalter’s Registration & Firm History

NY

08/19/2021 - Present

Young America Capital, LLC (MAMARONECK NY)

NY

02/13/2006 - 06/15/2006

FIELDSTONE SERVICES CORP. (NEW YORK NY)

NY

03/02/2000 - 03/06/2002

MUZINICH & CO., INC. (NEW YORK NY)

CT

02/15/1996 - 01/05/2000

GREENWICH HIGH YIELD LLC (DARIEN CT)

NY

06/17/1991 - 11/29/1994

CS FIRST BOSTON CORPORATION (NEW YORK NY)

NA

03/30/1989 - 07/01/1991

R.D. SMITH & COMPANY, INC.

NA

11/19/1987 - 04/19/1988

COMMERCIAL UNION CAPITAL MARKETS, INC.

NA

06/20/1983 - 02/27/1988

DJS SECURITIES LIMITED

NA

05/20/1976 - 03/06/1982

THOMSON MCKINNON SECURITIES INC.

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Licenses & Designations

BC

Issued 03/03/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/20/1984

Series 24 - General Securities Principal Examination

BC

Issued 08/19/2021

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 03/04/2021

SIE - Securities Industry Essentials Examination

BC

Issued 05/15/1976

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Stephen David Unterhalter. Review regulatory record here.
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