Richard H. 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.
Richard Herbert Taylor, who also goes by Dick Taylor, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2008 - August 16, 2011
FINANCIAL ADVOCATES ADVISORY SERVICES
January 2, 2003 - October 1, 2014
LPL FINANCIAL LLC
October 23, 2001 - October 1, 2014
LPL FINANCIAL LLC
March 18, 1993 - October 6, 1994
SEAFIRST INVESTMENT SERVICES, INC.
September 21, 1987 - February 27, 1989
CAPITAL BROKERAGE CORPORATION
October 22, 1985 - September 9, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL ADVOCATES ADVISORY SERVICES
CRD#: 147786 / SEC#: 801-110695
Contact information
Red Flags
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