George F. 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.
George Forman Taylor, who also goes by George F Taylor, George Forman Taylor III, George Forman Taylor, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2001. George had worked at 12 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 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 13, 2024 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
August 13, 2024 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
August 13, 2024 - August 1, 2025
CADARET, GRANT & CO., INC.
May 19, 2023 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
July 30, 2018 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
July 30, 2018 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
July 16, 2018 - August 13, 2018
CUNA BROKERAGE SERVICES, INC.
July 16, 2018 - August 13, 2018
CUNA BROKERAGE SERVICES, INC.
July 18, 2017 - July 12, 2018
CUSO FINANCIAL SERVICES, L.P.
July 17, 2017 - July 12, 2018
CUSO FINANCIAL SERVICES, L.P.
August 22, 2016 - December 7, 2016
WEALTHCARE CAPITAL MANAGEMENT LLC
February 14, 2013 - September 1, 2015
OSAIC INSTITUTIONS, INC.
January 16, 2013 - September 1, 2015
OSAIC INSTITUTIONS, INC.
October 15, 2007 - September 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2007 - September 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2005 - March 16, 2005
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - March 16, 2005
TRUIST INVESTMENT SERVICES, INC.
March 23, 2004 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
September 27, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
March 27, 2001 - May 7, 2002
BANC OF AMERICA INVESTMENT SERVICES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
