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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

JAMES THOMAS YOUNG

Advisor at UBS FINANCIAL SERVICES INC.

Miamisburg, OH | Dayton, OH

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Search this name across graphsid dfx:ria:d4658b49-8f09-14f2-2380-867d418d3c67

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 5, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 31, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 31, 1991
First registration: Oct 5, 2000
Dual registered: yes, broker-dealer
Other names: TOM YOUNG
IAPD individual key: 2142848

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 9, 2019	n/a	yes	Miamisburg, OH\|Dayton, OH	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 12, 2019	no	Centerville, OH	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 30, 2009	Jun 1, 2009	no	CENTERVILLE, OH	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Apr 20, 2009	no	DAYTON, OH\|MIAMISBURG, OH	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Oct 5, 2000	Jul 1, 2003	no	DAYTON, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Aug 12, 2019	Aug 9, 2019	-3	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Apr 20, 2009	Apr 30, 2009	10	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Aug 9, 2019 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 12, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 30, 2009 to Jun 1, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Apr 20, 2009factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Oct 5, 2000 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.