Brian A. 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.
Brian Arthur Taylor was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1991. Brian had worked at 9 firms and has passed the Series 63 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
August 12, 2011 - April 3, 2013
INTERNATIONAL ASSETS ADVISORY, LLC
July 30, 2010 - August 15, 2011
ANDERSON & STRUDWICK, INCORPORATED
January 2, 2002 - August 18, 2010
OPPENHEIMER & CO. INC.
November 28, 2001 - January 2, 2002
JOSEPHTHAL & CO., INC.
January 1, 2001 - November 29, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
July 15, 1996 - January 1, 2001
MJK CLEARING, INC.
September 1, 1994 - July 2, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
September 9, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
June 3, 1991 - September 2, 1993
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| HARRIS, KEVIN ANDRE | FINOP | 7061906 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
