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Mr. Young is the Vice President of the Supervision Department. He oversees the regional supervision program, implementation of the internal surveillance process, and performs the review and approval of new registered applicants joining the company. Mr. Young began working for the firm in 1997 as a member of the Equity and Fixed Income Trading departments. He soon began working for the Compliance Department as a compliance analyst and audit examiner, utilizing his principal licenses. He performed branch office compliance audits, reviewed trade activity through exception reports, and conversed with clients and financial advisors about account activity and sales practice issues. Mr. Young served as First Allied's Senior Registered Options Principal, performing suitability and trade activity reviews and client option account approvals. During his transition to becoming First Allied's first Regional Supervisor, he assisted with the formation of the Supervision Department and the transition of responsibilities from the Compliance Department. Prior to joining the firm, Mr. Young was an independent financial advisor with First Wall Street Securities, a branch manager with RAS Securities, and a financial advisor with Robert Baird and Dickinson & Co. He has a B.A. degree from the University of Iowa and currently holds the Series 4, 7, 24, 53, 55, 63, 65, 87 securities licenses. | 