My T. Taylor
Professional summary
Being a previously registered professional could mean that this person 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.
My Thi Do Taylor, who also goes by Mimi Taylor, My Thi Taylor, My Thi Do Taylor Mrs, My Thido Taylor, was a registered financial professional .
My is a previously registered financial professional and started their career in finance in 1997. My had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2012 - July 26, 2013
AVALON INVESTMENT & SECURITIES GROUP, INC.
April 9, 2010 - July 16, 2012
SIGNATOR FINANCIAL SERVICES, INC.
August 13, 2008 - April 13, 2010
MML INVESTORS SERVICES, LLC
August 14, 2007 - August 18, 2008
ALLSTATE FINANCIAL SERVICES, LLC
April 13, 2007 - August 17, 2007
SIGNATOR INVESTORS, INC.
May 20, 2005 - April 11, 2007
WOODBURY FINANCIAL SERVICES, INC.
November 26, 1997 - May 27, 2005
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
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.
