Samuel James Taylor
AIF®, CIMA®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sam Taylor
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RAYMOND JAMES & ASSOCIATES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
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RAYMOND JAMES & ASSOCIATES, INC.
Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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RAYMOND JAMES & ASSOCIATES, INC.
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.
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Credentials
Years of Experience
42 years in the financial services industry
Current & Past Employments
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RAYMOND JAMES & ASSOCIATES, INC.
Current Firm
TAYLOR CAPITAL MANAGEMENT | WEALTHVIEW CAPITAL, LLC | TAYLOR CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
4500 I-55 North, Suite 263, Jackson, MS 39211Phone Number
(601) 981-4040# of Employees
9SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
545AUM (Assets Under Management)
$319,473,403Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
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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RAYMOND JAMES & ASSOCIATES, INC.
Primary Firm SEC Registration
TAYLOR CAPITAL MANAGEMENT | WEALTHVIEW CAPITAL, LLC | TAYLOR CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
(7/13/2012)
(5/1/2009)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2004About the Series 9 examSimilar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel James Taylor's CRS (Customer Relationship Summary).
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RAYMOND JAMES & ASSOCIATES, INC.
