Charles L. 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.
Charles Landon Taylor, CFA, who also goes by Charles L Taylor, Charles Taylor, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2024 - October 31, 2024
STANSBERRY ASSET MANAGEMENT, LLC
May 3, 2022 - November 22, 2023
PNC WEALTH MANAGEMENT LLC
May 3, 2022 - November 22, 2023
PNC WEALTH MANAGEMENT LLC
April 3, 2020 - May 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 3, 2020 - May 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2018 - April 9, 2020
EDWARD JONES
May 29, 2018 - April 9, 2020
EDWARD JONES
September 5, 2017 - April 17, 2018
FDX CAPITAL LLC
July 23, 2015 - April 13, 2017
HARBOR FUNDS DISTRIBUTORS, INC.
May 6, 2004 - July 8, 2015
SCHRODER FUND ADVISORS LLC
January 28, 2002 - March 9, 2004
MANULIFE INVESTMENT MANAGEMENT (US) LLC
January 28, 2002 - March 9, 2004
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
November 12, 2001 - March 8, 2004
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 10, 1999 - July 6, 2001
FORUM FINANCIAL SERVICES, LLC
July 26, 1999 - July 27, 1999
SEI INVESTMENTS DISTRIBUTION CO.
January 28, 1997 - August 5, 1999
MOMENTUM INDEPENDENT NETWORK INC.
February 5, 1994 - January 10, 1997
AVANTAX INVESTMENT SERVICES, INC.
June 12, 1992 - January 20, 1994
AMERICAN CAPITAL MARKETING, INC.
Primary Firm SEC Registration
STANSBERRY ASSET MANAGEMENT, LLC
CRD#: 282103 / SEC#: 801-107061
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
STANSBERRY ASSET MANAGEMENT, LLC
CRD#: 282103 / SEC#: 801-107061
Contact information
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,164 |
| AUM (Assets Under Management) | $ 1,049,018,025 |
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.
