Thomas 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.
Thomas Taylor, who also goes by Thomas John Taylor, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 12 firms and has passed the Series 63, SIE 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
April 9, 2014 - November 14, 2014
DAVID LERNER ASSOCIATES, INC.
August 21, 2001 - August 30, 2001
IDS LIFE INSURANCE COMPANY
August 21, 2001 - August 30, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
November 6, 2000 - February 9, 2001
FIRST MADISON SECURITIES, INC.
January 5, 1999 - February 19, 1999
AMEREST SECURITIES, INC.
August 5, 1997 - November 8, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
March 18, 1997 - July 22, 1997
INVESTORS ASSOCIATES, INC.
June 14, 1994 - December 6, 1995
INVESTORS ASSOCIATES, INC.
November 29, 1993 - May 20, 1994
DUKE & CO., INC.
March 11, 1993 - November 18, 1993
R.K. STEELE
November 16, 1992 - January 26, 1993
MELBOURNE GSI CORP.
April 30, 1992 - October 22, 1992
CORTLANDT CAPITAL CORPORATION
April 30, 1992 - December 7, 1992
BUTTONWOOD SECURITIES, INC.
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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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