Bruce M. Taylor

LAIDLAW & COMPANY (UK) LTD.

San Francisco, CA 94104

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CRD#: 1252287

Professional summary

Bruce Michael Taylor is a registered financial professional currently at LAIDLAW & COMPANY (UK) LTD. located in San Francisco, California.

Bruce is registered as a RR (Registered Representative) and started their career in finance in 1994. Bruce has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Bruce Michael 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®

None

Experience

Current

September 23, 2008 - Present

LAIDLAW & COMPANY (UK) LTD.

Office #1: 315 Montgomery Street Suite 930, San Francisco, CA 94104

CRD#: 119037

San Francisco, CA

Past

September 6, 2007 - October 31, 2007

BELVEDERE GLOBAL INVESTORS LLC

CRD#: 129715

TIBURON, CA

Past

October 4, 2006 - July 6, 2007

M.L. STERN & CO., LLC.

CRD#: 8327

SACRAMENTO, CA

Past

September 28, 2006 - July 6, 2007

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

SACRAMENTO, CA

Past

September 17, 2004 - September 29, 2004

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

September 9, 2004 - September 29, 2004

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

INCLINE VILLAGE, NV

Past

August 24, 1998 - March 29, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SACRAMENTO, CA

Past

January 12, 1995 - March 29, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 31, 1994 - September 16, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/23/2008)

Colorado
(4/15/2015)

Minnesota
(1/8/2020)

New York
(9/23/2008)

Pennsylvania
(1/17/2014)

Texas
(7/20/2020)

Washington
(1/29/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/26/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LAIDLAW & COMPANY (UK) LTD.

LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

16 Berkeley St. Suite 7.09, London, W1J 8DZ

Mailing Address

521 5th Avenue 12th Fl, New York, NY 10175

Phone number

(212) 697-5200

Established

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LAIDLAW HOLDINGS LTD	OWNER
BELLO, JAMES ALAN	CCO	2844016
DAPONTE, ARTHUR JARROD	FINOP	7801577
EITNER, MATTHEW D	CHIEF EXECUTIVE OFFICER	3267261
REGAN, HUGH	DIRECTOR - INVESTMENT BANKING	1254114
SILVERMAN, PETER HOWARD	SEO/BRANCH MANAGER	1239510

Disclosures

Regulatory Event	9
Arbitration	4

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Bruce M. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bruce Michael Taylor's CRS (Customer Relationship Summary).

Certified licenses

Experience

BELVEDERE GLOBAL INVESTORS LLC

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/1994

Series 63

Date: 4/11/1994

SIE

Date: 10/1/2018

Series 7

Date: 3/30/1994

FINRA

Current Firm

LAIDLAW & COMPANY (UK) LTD.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LAIDLAW & COMPANY (UK) LTD.

TRUST BUT VERIFY

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