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George Prescott Taylor

CRD# 1193852·Registered 1983 - 2016
Previously Registered: Being a previously registered professional could mean that George 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.

Professional Summary

George Prescott Taylor was a registered financial advisor. George was a previously registered financial professional and started their career in finance 1983 - 2016. George had worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

Past

ARAGORN LTD.Past·CRD# 129380
RIA
Milton, MA
February 23, 2010 - February 10, 2016
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.Past·CRD# 13609
BD
Reading, MA
March 31, 2003 - June 19, 2006
ARAGORN LTD.Past·CRD# 129380
RIA
Braintree, MA
March 8, 2005 - December 2, 2005
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.Past·CRD# 2864
BD
Bryan, OH
June 8, 1990 - March 31, 2003
LCP CAPITAL CORP.Past·CRD# 14469
BD
Staten Island, NY
June 12, 1986 - June 14, 1990
CARDELL & ASSOCIATES, INCORPORATEDPast·CRD# 7700
BD
January 3, 1985 - June 17, 1986
LEHMAN BROTHERS DISTRIBUTORS INC.Past·CRD# 8441
BD
October 11, 1983 - December 27, 1984

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Current Firm

AL
ARAGORN LTD.

ARAGORN LTD.

CRD#: 129380 / SEC#: 801-66262
RIA
Registered Investment Advisory firm - SEC (10/8/2012 Terminated)
Florida
Registered Investment Advisory firm - Florida (2/9/2016 Terminated)
Massachusetts
Registered Investment Advisory firm - Massachusetts (9/5/2012 Approved)
New Hampshire
Registered Investment Advisory firm - New Hampshire (3/14/2016 Terminated)
Texas
Registered Investment Advisory firm - Texas (2/9/2016 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

Milton, MA

Phone Number

(617) 322-1735

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

51

AUM (Assets Under Management)

$16,399,001

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1983About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1984About the Series 7 exam

Series 22 — Direct Participation Programs Representative Examination

Passed Jan 1984About the Series 22 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1983About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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