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Dennis W. Taylor

Some features on this profile are disabled
CRD#: 1563266
DT

Professional summary

Dennis Willard Taylor was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dennis is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Dennis had worked at 9 firms, which includes TRIUMPH WEALTH ADVISORS INC., TAYLOR CAPITAL MANAGEMENT INC., INDEPENDENT FINANCIAL GROUP LLC, MAIN STREET ADVISORS LLC, MAIN STREET SECURITIES LLC, NATIONAL PLANNING CORPORATION, WOODSTOCK FINANCIAL GROUP INC., METLIFE INVESTORS SALES COMPANY, INVESCO CAPITAL MARKETS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 27, 2013 - December 26, 2019

TRIUMPH WEALTH ADVISORS, INC.

RIA
CRD#: 153175
Woodstock, GA
Past

July 6, 2011 - October 31, 2018

TAYLOR CAPITAL MANAGEMENT INC.

BD
CRD#: 43559
WOODSTOCK, GA
Past

August 2, 2010 - June 30, 2011

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
HAYS, KS
Past

August 2, 2010 - June 30, 2011

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
HAYS, KS
Past

March 29, 2010 - September 27, 2011

MAIN STREET ADVISORS, LLC

RIA
CRD#: 116303
HAYS, KS
Past

November 3, 2009 - December 31, 2009

MAIN STREET SECURITIES, LLC

BD
CRD#: 47127
HAYS, KS
Past

November 2, 2009 - July 30, 2010

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
HAYS, KS
Past

October 26, 2009 - November 3, 2009

MAIN STREET SECURITIES, LLC

BD
CRD#: 47127
HAYS, KS
Past

November 16, 2007 - July 24, 2009

WOODSTOCK FINANCIAL GROUP, INC.

RIA
CRD#: 38095
WOODSTOCK, GA
Past

March 17, 2006 - July 24, 2009

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

August 30, 1989 - October 14, 1989

METLIFE INVESTORS SALES COMPANY

BD
CRD#: 15950
OAKBROOK TERRACE, IL
Past

September 26, 1986 - June 5, 1991

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/16/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/7/1988
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/19/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/20/1987
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/30/1986
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/14/1986
General Securities Principal Examination

Current Firm

TW
TRIUMPH WEALTH ADVISORS, INC.
BILTMORE FINANCIAL SERVICES | WIENIEWITZ FINANCIAL | WELLS FINANCIAL | VISION FINANCIAL | TRIUMPH WEALTH ADVISORS, INC. | SUNRISE FINANCIAL | STARTT PLANNING | SAVAGE CAPITAL MANAGEMENT | MCPHERSON FINANCIAL SERVICES | MATTHEWS FINANCIAL SERVICES | LEADERSHIP FINANCIAL | KOONTZ INSURANCE AND FINANCIAL | HUMPHRIS FINANCIAL SERVICES | FOCUS FINANCIAL GROUP, LLC | DIPASQUALE FINANCIAL | CP ASSOCIATES | CASON FINANCIAL | CAMERON FINANCIAL SERVICES

CRD#: 153175 / SEC#: 801-79603

RIA
Registered Investment Advisory firm - (7/22/2024 Terminated)
Arizona
Registered Investment Advisory firm - (5/21/2014 Terminated)
Florida
Registered Investment Advisory firm - (5/21/2014 Terminated)
Georgia
Registered Investment Advisory firm - (5/31/2024 Approved)
Indiana
Registered Investment Advisory firm - (5/21/2014 Terminated)
Mississippi
Registered Investment Advisory firm - (5/21/2014 Terminated)
North Carolina
Registered Investment Advisory firm - (5/21/2014 Terminated)
South Carolina
Registered Investment Advisory firm - (5/21/2014 Terminated)
Texas
Registered Investment Advisory firm - (7/19/2024 Approved)
Virginia
Registered Investment Advisory firm - (5/21/2014 Terminated)
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Contact information

Main Address
2230 Towne Lake Pkwy Bldg 800-ste 130, Woodstock, GA 30189
Mailing Address
Phone number
(770) 924-9322
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts252
AUM (Assets Under Management)$ 30,337,210

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.

Company Information

TRIUMPH WEALTH ADVISORS, INC.

CRD#: 153175

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