Richard J. 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.
Richard James Taylor was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2016 - September 8, 2020
FISHER INVESTMENTS
April 29, 2005 - June 27, 2012
FISHER INVESTMENTS
June 1, 1998 - May 3, 2001
TD AMERITRADE, INC.
February 27, 1997 - June 1, 1998
JACK WHITE & COMPANY, INC.
December 10, 1993 - February 10, 1997
MONY SECURITIES CORPORATION
March 22, 1993 - August 5, 1993
INVESTORS ASSOCIATES, INC.
January 21, 1993 - February 4, 1993
H.J. MEYERS & CO., INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
