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JT

James C. Taylor

Some features on this profile are disabled
CRD#: 1632434
JT

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.

James Crosby Taylor Jr, who also goes by Crosby Taylor, James Crosby Taylor Jr, James Crosby Taylor, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1995. James had worked at 8 firms and has passed the Series 63, SIE, Series 7TO, Series 7, Series 52, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Crosby Taylor | James Crosby Taylor Jr | James Crosby Taylor

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

December 7, 2021 - November 14, 2022

FIRST BANKERS' BANC SECURITIES, INC

BD
CRD#: 15041
ST. LOUIS, MO
Past

April 28, 2021 - December 8, 2021

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
Ft Lauderdale, FL
Past

May 9, 2016 - March 1, 2017

FIRST EMPIRE SECURITIES, INC.

BD
CRD#: 15129
Birmingham, AL
Past

October 6, 2014 - April 4, 2016

MORGAN STANLEY

BD
CRD#: 149777
BIRMINGHAM, AL
Past

September 20, 2013 - April 2, 2014

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
BIRMINGHAM, AL
Past

November 4, 2009 - July 23, 2013

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

March 23, 2005 - September 14, 2009

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

July 2, 2003 - April 14, 2005

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 9, 1996 - June 19, 2003

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

November 7, 1995 - January 5, 1996

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

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
Series 63
Date: 5/17/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/28/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 6/28/1988
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/28/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/30/1999
General Securities Sales Supervisor - Options Module Examination

Current Firm

FB
FIRST BANKERS' BANC SECURITIES, INC
FIRST BANKERS' BANC SECURITIES, INC | FIRST ST. LOUIS SECURITIES, INC.

CRD#: 15041 / SEC#: , 8-31584

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1714 Deer Tracks Trail, Suite 110, St. Louis, MO 63131
Mailing Address
1714 Deer Tracks Trail, Suite 110, St. Louis, MO 63131
Phone number
(314) 726-2880
Established
Missouri since 03/06/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BANKERS' BANC INVESTMENT SERVICES LLCSHAREHOLDER
HAEDIKE, CHRISTINE DCHIEF COMPLIANCE OFFICER2489703
SPELLMEYER, ARTHUR WILLIAM IVPRESIDENT/CEO4872597

Disclosures

Regulatory Event2

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

FIRST BANKERS' BANC SECURITIES, INC

CRD#: 15041

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