Unclaimed Profile

Thomas Richard Young

KAIZEN ADVISORY, LLC·WHEATON, Illinois

SIE, Series 1, Series 3, Series 7, Series 66Clean record14 years registeredKAIZEN ADVISORY, LLC

1745 S. NAPERVILLE ROAD, WHEATON, IL 60189CRD# 824152Firm CRD# 171520

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Richard Young · WHEATON, IL

Registration

CRD #824152 · KAIZEN ADVISORY, LLC · 14 years registered

Brand Profile

Not yet started

Career History

BROOKSTONE CAPITAL MANAGEMENT LLC

Mar 2021 – present

KAIZEN ADVISORY, LLC

Jan 2016 – Apr 2019

WHEATON, IL

ZEGA FINANCIAL, LLC

Aug 2013 – Oct 2014

NAPERVILLE, IL

BROOKSTONE CAPITAL MANAGEMENT LLC

Jun 2012 – Jan 2016

NAPERVILLE, IL

AMS ADVISORS LLC

Jan 2012 – Jun 2012

BOCA RATON, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 3

Series 7

Series 66

Registration record

First registered · January 9, 2012

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

KAIZEN ADVISORY, LLC

CRD 171520 · SEC 801-80221

AUM

$275M

Regulatory assets under management

Employees

9 client accounts

Services offered by KAIZEN ADVISORY, LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

View all advisors at KAIZEN ADVISORY, LLC →

Introduction

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Frequently Asked Questions

What services does Thomas Richard Young offer?

Thomas Richard Young specializes in Investment Management, Retirement Planning, Fee-Only Advisory. Contact their office in WHEATON, Illinois for a consultation.

What are Thomas Richard Young's credentials?

Thomas Richard Young is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Richard Young located?

Thomas Richard Young is based in WHEATON, Illinois, working with KAIZEN ADVISORY, LLC. Their office serves clients in the WHEATON metropolitan area and surrounding communities.

How does Thomas Richard Young charge for services?

Thomas Richard Young's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KAIZEN ADVISORY, LLC?

KAIZEN ADVISORY, LLC has approximately 3 employees and manages $275M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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