Sherwood A. 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.
Sherwood Adair Taylor, who also goes by Taylor Sherwood, Sherwood Taylor, was a registered financial professional .
Sherwood is a previously registered financial professional and started their career in finance in 1986. Sherwood had worked at 4 firms and has passed the Series 65, Series 63 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 7, 1989 - March 11, 1993
RAUSCHER PIERCE REFSNES, INC.
October 5, 1989 - October 12, 1989
CITIGROUP GLOBAL MARKETS INC.
January 2, 1987 - October 26, 1989
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 13, 1986 - January 7, 1987
ROTAN MOSLE INC.
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
RAUSCHER PIERCE REFSNES, INC.
CRD#: 6663 / SEC#: , 8-27271
Contact information
Documents
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.
