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BT

Bruce M. Taylor

LAIDLAW & COMPANY (UK) LTD.
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 1252287
BT
Bruce Michael TaylorLAIDLAW & COMPANY (UK) LTD.

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.

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: 505 Montgomery Street Suite 1029, San Francisco, CA 94111
BD
CRD#: 119037
SAN FRANCISCO, CA
Past

September 6, 2007 - October 31, 2007

BELVEDERE GLOBAL INVESTORS LLC

BD
CRD#: 129715
TIBURON, CA
Past

October 4, 2006 - July 6, 2007

M.L. STERN & CO., LLC.

BD
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.

BD
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.

BD
CRD#: 7556
PURCHASE, NY
Past

March 31, 1994 - September 16, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(9/23/2008)
RR
Colorado
(4/15/2015)
RR
Minnesota
(1/8/2020)
RR
New York
(9/23/2008)
RR
Pennsylvania
(1/17/2014)
RR
Texas
(7/20/2020)
RR
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
RR
Series 63
Date: 4/11/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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

NamePositionCRD#
LAIDLAW HOLDINGS LTDOWNER
BELLO, JAMES ALANCCO2844016
DAPONTE, ARTHUR JARRODFINOP7801577
EITNER, MATTHEW DCHIEF EXECUTIVE OFFICER3267261
REGAN, HUGHDIRECTOR - INVESTMENT BANKING1254114
SILVERMAN, PETER HOWARDSEO/BRANCH MANAGER1239510

Disclosures

Regulatory Event10
Arbitration4

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.

Company Information

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037San Francisco, CA 94111

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