Samuel J. Taylor

WEALTHVIEW CAPITAL

Jackson, MS 39211

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CRD#: 1232458

Professional summary

Samuel James Taylor, AIF®, CIMA®, who also goes by Sam Taylor, is a registered financial advisor currently at WEALTHVIEW CAPITAL, LLC located in Jackson, Mississippi.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Samuel has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Taylor

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel James Taylor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 1, 2009 - Present

WEALTHVIEW CAPITAL, LLC

Office #1: 4500 I-55 North, Suite 263, Jackson, MS 39211

RIA

CRD#: 149476

Jackson, MS

Past

March 4, 2005 - May 5, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

JACKSON, MS

Past

March 4, 2005 - May 5, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

JACKSON, MS

Past

July 1, 2003 - March 7, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

JACKSON, MS

Past

July 1, 2003 - March 7, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 24, 1996 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

JACKSON, MS

Past

January 28, 1994 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 8, 1986 - February 4, 1994

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

March 22, 1984 - May 9, 1986

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHVIEW CAPITAL, LLC

TAYLOR CAPITAL MANAGEMENT | WEALTHVIEW CAPITAL, LLC | TAYLOR CAPITAL MANAGEMENT, LLC

CRD#: 149476 / SEC#: 801-79342

RIA

Registered Investment Advisory firm - (4/2/2014 Approved)

Alabama

Registered Investment Advisory firm - (4/3/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (4/3/2014 Terminated)

Mississippi

Registered Investment Advisory firm - (4/16/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (5/31/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/3/2014 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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(7/13/2012)

IAR

Mississippi
(5/1/2009)

IAR

Texas
(5/7/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/16/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/30/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/22/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

WEALTHVIEW CAPITAL, LLC

TAYLOR CAPITAL MANAGEMENT | WEALTHVIEW CAPITAL, LLC | TAYLOR CAPITAL MANAGEMENT, LLC

CRD#: 149476 / SEC#: 801-79342

RIA

Registered Investment Advisory firm - (4/2/2014 Approved)

Alabama

Registered Investment Advisory firm - (4/3/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (4/3/2014 Terminated)

Mississippi

Registered Investment Advisory firm - (4/16/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (5/31/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/3/2014 Terminated)

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Contact information

Main Address

4500 I-55 North, Suite 263, Jackson, MS 39211

Mailing Address

Phone number

(601) 981-4040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHVIEW CAPITAL, LLC ADV PART 2A FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	511
AUM (Assets Under Management)	$ 286,766,435

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Samuel J. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel James Taylor's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN KEEGAN & COMPANY, LLC

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

Primary Firm SEC Registration

WEALTHVIEW CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/1995

Series 63

Date: 5/30/1984

Series 3

Date: 4/16/1984

Series 7

Date: 3/17/1984

Series 10

Date: 1/30/2004

Series 9

Date: 1/22/2004

Current Firm

WEALTHVIEW CAPITAL, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHVIEW CAPITAL, LLC

TRUST BUT VERIFY

Contact information

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