Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JEFFREY CHARLES YOUNG
CRD#: 1111994
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 7373 N SCOTTSDALE RD STE A250
SCOTTSDALE, AZ 85253
CETERA ADVISOR NETWORKS LLCCRD#: 13572 7373 N SCOTTSDALE RD STE A250
SCOTTSDALE, AZ 85253
Registration History
198519901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2022 - Present (3 years)BFIRST FINANCIAL EQUITY CORPORATION (CRD# 16507)2001 - 2022 (20 years)BWESTAMERICA INVESTMENT GROUP (CRD# 6626)1990 - 2001 (11 years)BRL KOTROZO, INC. (CRD# 12968)1985 - 1990 (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1983 - 1985 (2 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2022 - 2023 (1 year)IAFIRST FINANCIAL EQUITY CORPORATION (CRD# 16507)2002 - 2022 (20 years)
Disclosure(s)
View By:
12/5/2014
Customer Dispute
Final
6/5/2007
Customer Dispute
Closed-No Action
12/27/1988
Regulatory
Final
License(s)

State Registrations

B
Alabama 4/20/2022
B
Michigan 7/24/2024
B
Arizona 4/20/2022
B
Minnesota 9/11/2023
IA
Arizona 6/29/2023
B
New Mexico 11/8/2023
B
Arkansas 4/20/2022
B
New York 4/20/2022
B
California 4/20/2022
B
Oregon 4/20/2022
B
Connecticut 4/20/2022
B
South Carolina 2/15/2024
B
Florida 1/4/2024
B
Texas 4/20/2022
B
Illinois 4/20/2022
IA
Texas 6/29/2023
B
Indiana 1/22/2024
B
Utah 10/2/2024
B
Iowa 4/20/2022
B
Wyoming 5/4/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
7373 N SCOTTSDALE RD STE A250, SCOTTSDALE, AZ 85253
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
7373 N SCOTTSDALE RD STE A250, SCOTTSDALE, AZ 85253
Registered with this firm since 4/20/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/20/2022 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
 02/01/2002 - 04/20/2022 FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507) SCOTTSDALE, AZ
B
 11/13/2001 - 04/20/2022 FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507) SCOTTSDALE, AZ
B
 03/13/1990 - 11/12/2001 WESTAMERICA INVESTMENT GROUP (CRD#:6626) SCOTTSDALE, AZ
B
 10/31/1985 - 03/15/1990 RL KOTROZO, INC. (CRD#:12968)
FINRA expelled the firm on 03/26/1991
B
 04/20/1983 - 08/23/1985 DEAN WITTER REYNOLDS INC. (CRD#:7556)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.