Arthur E. 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.
Arthur Edward Taylor JR, who also goes by Arthur Taylor, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1987. Arthur had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2022 - November 2, 2023
LPL FINANCIAL LLC
March 11, 2022 - November 2, 2023
LPL FINANCIAL LLC
January 2, 2009 - December 26, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 2, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 26, 2008 - December 26, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 16, 2003 - October 15, 2008
WAMU INVESTMENTS, INC.
December 16, 2003 - October 15, 2008
WAMU INVESTMENTS, INC.
September 4, 2003 - January 6, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 3, 2003 - January 6, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 14, 1997 - September 3, 2003
WAMU INVESTMENTS, INC.
January 5, 1996 - July 14, 1997
ASB FINANCIAL SERVICES
August 2, 1993 - December 29, 1995
IFMG SECURITIES, INC.
January 29, 1992 - August 6, 1993
PRUDENTIAL EQUITY GROUP, LLC
March 28, 1990 - February 4, 1992
FIRST ASSOCIATED SECURITIES GROUP, INC.
March 24, 1987 - April 9, 1990
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
