David K. 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.
David Kevin Taylor, CFP® was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 2, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - February 5, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 7, 2003 - July 13, 2018
STRATEGIC ADVISERS LLC
June 17, 2003 - February 4, 2020
FIDELITY BROKERAGE SERVICES LLC
November 4, 1998 - April 24, 2003
STRATEGIC ADVISERS LLC
October 13, 1998 - April 24, 2003
FIDELITY BROKERAGE SERVICES LLC
December 19, 1997 - October 5, 1998
AVANTAX INVESTMENT SERVICES, INC.
July 23, 1986 - August 31, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 2
Date: 1/24/1995
Non-Member General Securities ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
