Evan Taber

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CRD#: 1892751

Professional summary

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

Evan is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Evan had worked at 11 firms, which includes CAPE SECURITIES INC., AURA FINANCIAL SERVICES INC., LH ROSS & COMPANY INC., RYAN BECK & CO., GRUNTAL & CO. L.L.C., PRUDENTIAL EQUITY GROUP LLC, WELLS FARGO CLEARING SERVICES LLC, PRESCOTT BALL & TURBEN INC., GULFSTREAM FINANCIAL ASSOCIATES INC., UBS FINANCIAL SERVICES INC., F.D. ROBERTS SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

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

July 15, 2009 - August 13, 2009

CAPE SECURITIES INC.

CRD#: 7072

MCDONOUGH, GA

Past

March 1, 2005 - October 7, 2009

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

BIRMINGHAM, AL

Past

November 1, 2002 - March 17, 2005

LH ROSS & COMPANY, INC.

CRD#: 37920

BOCA RATON, FL

Past

April 29, 2002 - November 15, 2002

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

August 22, 1997 - May 15, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

October 14, 1994 - September 8, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 11, 1991 - October 12, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

September 4, 1990 - September 12, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 2, 1990 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

August 23, 1989 - January 2, 1990

GULFSTREAM FINANCIAL ASSOCIATES, INC.

CRD#: 19910

Past

May 23, 1989 - August 8, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 23, 1989 - October 2, 1989

F.D. ROBERTS SECURITIES, INC.

CRD#: 693

PARAMUS, NJ

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

Series 63

Date: 6/15/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

Current Firm

CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Mailing Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Phone number

(678) 583-1120

Established

North Carolina since 02/23/1976

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WEBB, JAMES RANDALL	CHAIRMAN	2089446
BACHMANN, KEVIN SCOTT	PRESIDENT	1406637
CIANTRO, PHILIP	CCO	2350685
CIANTRO, PHILIP	FINOP	2350685
JOKELA, JOHN KEVIN	COO	5474831

Disclosures

Regulatory Event	2
Arbitration	1

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.

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Evan Taber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AURA FINANCIAL SERVICES, INC.

LH ROSS & COMPANY, INC.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

PRUDENTIAL EQUITY GROUP, LLC

GRUNTAL & CO., L.L.C.

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

GULFSTREAM FINANCIAL ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

F.D. ROBERTS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/15/1989

Series 7

Date: 5/20/1989

Current Firm

CAPE SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPE SECURITIES INC.

TRUST BUT VERIFY

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