Alisa 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.
Alisa Taylor, who also goes by Alisa Darlene Byrum, Alisa Byrum Taylor, Alisa Darlene Taylor, Alisa Darlene Wingett, was a registered financial professional .
Alisa is a previously registered financial professional and started their career in finance in 1999. Alisa had worked at 5 firms and has passed the Series 63, Series 65, 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
May 5, 2015 - November 8, 2017
RAYMOND JAMES & ASSOCIATES, INC.
December 3, 2009 - May 17, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 3, 2009 - May 17, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 2008 - November 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
July 27, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 15, 2004 - June 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2004 - June 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2002 - May 20, 2004
A. G. EDWARDS & SONS, INC.
September 10, 1999 - January 22, 2001
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
