Richard S. Taylor
Professional summary
Richard Scott Taylor was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Richard had worked at 3 firms, which includes INVESTORS CAPITAL CORP., T.H.E. FINANCIAL GROUP LTD, PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2000 - September 4, 2001
INVESTORS CAPITAL CORP.
January 22, 1993 - November 9, 1998
T.H.E. FINANCIAL GROUP, LTD
December 4, 1986 - February 26, 1991
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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