James W. Taylor
Professional summary
James William Taylor, who also goes by Jim Taylor, is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James William Taylor's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 12, 2023 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018November 10, 2023 - December 20, 2023
VISION 4 FUND DISTRIBUTORS
January 3, 2023 - May 9, 2023
ALPS DISTRIBUTORS, INC.
January 8, 2021 - December 31, 2022
IMST DISTRIBUTORS, LLC
July 17, 2020 - December 24, 2020
ARCHER DISTRIBUTORS, LLC
January 24, 2006 - January 21, 2020
ALLSPRING FUNDS MANAGEMENT, LLC
April 1, 2005 - January 21, 2020
ALLSPRING FUNDS DISTRIBUTOR, LLC
December 16, 2002 - March 31, 2005
STEPHENS
August 26, 1987 - January 13, 2003
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2024)
(12/12/2023)
(1/2/2024)
(1/2/2024)
(1/2/2024)
Exams
FINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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