William H. Taggart
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.
William Harold Taggart was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 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
June 1, 2015 - January 24, 2017
SHEAFF BROCK INVESTMENT ADVISORS, LLC
February 13, 2013 - December 23, 2014
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - December 23, 2014
RAYMOND JAMES & ASSOCIATES, INC.
August 19, 2005 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
August 19, 2005 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
July 19, 2001 - August 29, 2005
MORGAN STANLEY DW INC.
October 6, 1993 - August 29, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SHEAFF BROCK INVESTMENT ADVISORS, LLC
CRD#: 118739 / SEC#: 801-60978
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,778 |
| AUM (Assets Under Management) | $ 1,410,206,314 |
Red Flags
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