Timothy J. 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.
Timothy Joseph Taylor, who also goes by Tim Taylor, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 4 firms and has passed the Series 63, Series 15, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 1992 - February 20, 1996
SEARS. THOMPSON INVESTMENT GROUP, INC.
April 9, 1991 - October 7, 1992
PRUDENTIAL EQUITY GROUP, LLC
October 3, 1988 - March 27, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 1985 - October 18, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
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
Series 15
Date: 9/26/1991
Foreign Currency Options ExaminationCurrent Firm
SEARS. THOMPSON INVESTMENT GROUP, INC.
CRD#: 7351 / SEC#: , 8-21277
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
