Peggy 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.
Peggy Ann Taylor, who also goes by Margaret Taylor, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 1986. Peggy had worked at 3 firms and has passed the Series 63, Series 7 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
July 10, 1991 - February 28, 2014
CONNERS & CO., INC.
June 11, 1990 - December 19, 1990
PNC CAPITAL MARKETS LLC
November 21, 1986 - June 11, 1990
CENTRAL TRADE$AVER, 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
CONNERS & CO., INC.
CRD#: 1511 / SEC#: , 8-8228
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNERS, JOHN ANTHONY | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | 52348 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
