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Edward James Smith

Young Richard C & Co Ltd

Newport, RI

CRD 2878281

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Employer firm

Young Richard C & Co Ltd CRD 105866

$1.80B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Young Richard C & Co Ltd

98 William Street, Newport, RI 02840 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2003-01-31
RI RA APPROVED 2003-01-01
  • TX RA
    APPROVED_RES
    Since 2003-01-31
  • RI RA
    APPROVED
    Since 2003-01-01

Branch Locations

Richard C. Young & Co., Ltd., Newport, RI 02840 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Richard C. Young & Co., Ltd. Newport RI 11/1998 Present
  • 11/1998 → Present
    Richard C. Young & Co., Ltd.
    Newport, RI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-20
S63 Uniform Securities Agent State Law Examination 1997-05-29
  • S65 Uniform Investment Adviser Law Examination
    1999-08-20
  • S63 Uniform Securities Agent State Law Examination
    1997-05-29

View on SEC IAPD

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