Herbert A. Taylor

PROSPERA FINANCIAL SERVICES

Memphis, TN 38137

Some features on this profile are disabled

CRD#: 2192997

Professional summary

Herbert Alonzo Taylor IV is a registered financial advisor currently at PROSPERA FINANCIAL SERVICES, INC. located in Memphis, Tennessee.

Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Herbert has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

PacificLife; Investment Related - No; 700 Newport Center Dr., Newport Beach, CA 92660; Insurance; Producer; 10/2025; 3 Hours Per Month; 1 During Trading Hours; Selling Insurance, annuities LTC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert Alonzo Taylor IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Herbert Alonzo Taylor IV's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 19, 2024 - Present

PROSPERA FINANCIAL SERVICES, INC.

Office #1: 5100 Poplar Ave Suite 1501, Memphis, TN 38137

RIA

CRD#: 10740

Memphis, TN

Current

September 19, 2024 - Present

PROSPERA FINANCIAL SERVICES, INC.

Office #1: 5100 Poplar Ave Suite 1501, Memphis, TN 38137

RIA

CRD#: 10740

Memphis, TN

Past

August 23, 2022 - October 1, 2024

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

Memphis, TN

Past

January 2, 2013 - December 31, 2022

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

Memphis, TN

Past

April 12, 2001 - October 1, 2024

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Memphis, TN

Past

January 24, 1992 - April 26, 2001

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

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".

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740 / SEC#: 801-65845, 8-28164

RIA

Registered Investment Advisory firm - SEC (2/1/2006 Approved)

Texas

Registered Investment Advisory firm - SEC (2/2/2006 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(10/2/2024)

Arizona
(9/19/2024)

Arkansas
(9/19/2024)

California
(9/19/2024)

Colorado
(9/19/2024)

Florida
(9/19/2024)

Georgia
(9/19/2024)

Illinois
(2/24/2025)

Indiana
(9/19/2024)

Iowa
(9/19/2024)

Louisiana
(9/19/2024)

Maryland
(9/19/2024)

Michigan
(9/19/2024)

Minnesota
(9/19/2024)

Mississippi
(9/19/2024)

Montana
(9/19/2024)

New Hampshire
(9/19/2024)

New York
(9/19/2024)

North Carolina
(9/19/2024)

North Dakota
(9/19/2024)

Ohio
(9/19/2024)

Oklahoma
(9/19/2024)

Oregon
(9/19/2024)

Pennsylvania
(9/19/2024)

South Carolina
(9/19/2024)

Tennessee
(9/19/2024)

IAR

Tennessee
(9/19/2024)

Texas
(9/19/2024)

Utah
(9/19/2024)

Virgin Islands
(9/23/2024)

Virginia
(9/19/2024)

Washington
(9/19/2024)

Wisconsin
(10/9/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/28/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/3/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740 / SEC#: 801-65845, 8-28164

RIA

Registered Investment Advisory firm - SEC (2/1/2006 Approved)

Texas

Registered Investment Advisory firm - SEC (2/2/2006 Terminated)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5429 Lbj Freeway Suite 750, Dallas, TX 75240

Mailing Address

5429 Lbj Freeway Suite 750, Dallas, TX 75240

Phone number

(972) 581-3000

Established

Texas since 07/16/1982

Firm type

Corporation

Fiscal year end

June

Firm Size

Medium

# of Employees

333

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PROSPERA FINANCIAL SERVICES 2A DISCLOSURE BROCHURE 2025.09.30 (9/30/2025)

PROSPERA FINANCIAL SERVICES 2A DISCLOSURE BROCHURE 2025.09.30 WRAP (9/30/2025)

Direct owners and executive officers

Name	Position	CRD#
PROSPERA FINANCIAL, LLC	HOLDING COMPANY
BAXTER, SHAWN	CHIEF COMPLIANCE OFFICER	4346594
EDWARDS, TIM ALAN	CO-CEO	1569619
KERN, EDWARD	CHIEF FINANCIAL OFFICER	4364143
PASCUZZI, RICHARD DEAN	EXECUTIVE VICE PRESIDENT, SECRETARY	711548
STRINGER, DAVID WALTER	CO-CEO	1410548
WILLIAMS, TARAH ELIZABETH	PRESIDENT, CHIEF OPERATING OFFICER	2727706

Regulatory assets under management

Total Number of Accounts	29,500
AUM (Assets Under Management)	$ 12,435,115,072

Disclosures

Regulatory Event	10
Arbitration	3
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/26/2025	Cover Page	Report
04/23/2024	Cover Page	Report

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.

Similar Advisors

Stacey Hyde

ENVISION FINANCIAL PLANNING, LLC

IAR

Memphis, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Herbert A. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert Alonzo Taylor IV's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Herbert Alonzo Taylor IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERA FINANCIAL SERVICES, INC.

B. RILEY WEALTH ADVISORS, INC.

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

PROSPERA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/2012

Series 63

Date: 2/3/1992

SIE

Date: 10/1/2018

Series 7

Date: 1/22/1992

FINRA

Current Firm

PROSPERA FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PROSPERA FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors