John S. Taylor
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Stanley Taylor was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2015 - February 18, 2020
B. RILEY WEALTH MANAGEMENT
May 28, 2015 - February 18, 2020
B. RILEY WEALTH MANAGEMENT
November 7, 2008 - June 25, 2015
HILLTOP SECURITIES INC.
November 7, 2008 - June 25, 2015
HILLTOP SECURITIES INC.
September 22, 2008 - November 20, 2008
BARCLAYS CAPITAL INC.
April 4, 2007 - October 15, 2008
LEHMAN BROTHERS INC.
October 13, 2000 - September 22, 2008
LEHMAN BROTHERS INC.
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
June 14, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
July 25, 1987 - August 24, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
February 25, 1985 - June 5, 1995
WESTCAP SECURITIES, L.P.
June 22, 1983 - February 19, 1985
CHASE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
