JT
John R. Taylor
STIFEL, NICOLAUS & COMPANY
Fort Smith, AR 72903
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CRD#: 1989525
JT
Professional summary
John Robert Taylor, CFP®, who also goes by John Taylor, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Fort Smith, Arkansas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John 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.
1. UNIVERSITY OF ARKANSAS FORT SMITH FOUNDATION; 5210 GRAND AVE FORT SMITH AR 72901; THE FOUNDATION IS A 501C3 SUPPORTING ORGANIZATION FOR THE U OF A FORT SMITH; CHARIMAN OF BOARD TRUSTEES; CHAIR BOARD MEEETINGS; AFFILIATION STARTED 01/01/1992; 6 HOURS PER QUARTER; DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 2. ARKANSAS COLLEGES OF HEALTH EDUCATION (ACHE) AND THE DEGEN FOUNDATION AND THE FORT SMITH REGIONAL HEALTHCARE FOUNDATION (RELATED 501C3 NON-PROFITS); 700 CHAD COLLEY BLVD FORT SMITH AR 72916; ACHE- BUILDING AND OPERATION OF THE ARKANSAS COLLEGE OF OSTEOPATHIC MEDICINE. DEGEN AFFILIATED NON-PROFIT MAKES GRANTS AND SCHOLA; CHAIRMAN OF ALL THREE BOARDS; NON EXECUTIVE CHAIRMAN OF BOARD OF TRUSTEES; AFFILIATION STARTED 01/31/2006; 4 HOURS PER MONTH; DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 3. Union Christian Academy Foundation for Academic Excellence; 4201 Windsor dr. Fort Smith, AR 72901; to solicit, accept, hold, invest and administer any gifts for the sole benefit of Union Christian Academy; Foundation board member; Meetings at least quarterly. Provide input and offer expertise since i have served on other foundation; 06/16/2025; 2hrs/qtr; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view John Robert Taylor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Robert Taylor's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1988
Experience
Current
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6101 Phoenix Avenue Suite 2, Fort Smith, AR 72903RIA
BD
CRD#: 793
Fort Smith, AR
Current
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6101 Phoenix Avenue Suite 2, Fort Smith, AR 72903RIA
BD
CRD#: 793
Fort Smith, AR
Past
March 14, 2005 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
March 5, 2004 - December 20, 2005
STERNE, AGEE & LEACH, INC.
RIA
CRD#: 791
FORT SMITH, AR
Past
January 16, 2001 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
FORT SMITH, AR
Past
October 25, 1995 - March 6, 2001
JOHN R. TAYLOR FINANCIAL GROUP, INC.
BD
CRD#: 39312
BIRMINGHAM, AL
Past
June 14, 1991 - August 18, 1995
MERCHANTS INVESTMENT CENTER, INC.
BD
CRD#: 27402
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/16/2022)
RR
Arkansas(7/7/2015)
IAR
Arkansas(7/7/2015)
RR
California(1/2/2018)
RR
Colorado(7/7/2015)
RR
Connecticut(6/16/2022)
RR
District of Columbia(1/3/2018)
RR
Florida(7/7/2015)
RR
Georgia(7/7/2015)
RR
Illinois(3/27/2023)
RR
Kansas(4/19/2017)
RR
Louisiana(1/3/2018)
RR
Mississippi(1/9/2018)
RR
Missouri(7/7/2015)
RR
Nebraska(1/10/2022)
RR
New Mexico(1/3/2018)
RR
New York(7/7/2015)
RR
North Carolina(10/8/2015)
RR
Ohio(7/7/2015)
RR
Oklahoma(7/7/2015)
RR
Oregon(1/10/2022)
RR
Pennsylvania(7/7/2015)
RR
South Carolina(1/4/2024)
RR
Tennessee(7/20/2017)
RR
Texas(7/7/2015)
IAR
Texas(7/17/2015)
RR
Utah(1/3/2018)
RR
Virginia(9/2/2021)
RR
Wisconsin(7/7/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
