James G. Taylor

SAPERSTON LEGACY ADVISORS

Hamburg, NY 14075

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CRD#: 2441548

Professional summary

James Gordon Taylor III, who also goes by Jim Gordon Taylor, is a registered financial advisor currently at SAPERSTON LEGACY ADVISORS, INC. located in Hamburg, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Gordon Taylor

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gordon Taylor III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2022 - Present

SAPERSTON LEGACY ADVISORS, INC.

Office #1: 172 Lake Street, Hamburg, NY 14075

RIA

CRD#: 105849

Hamburg, NY

Past

June 7, 2022 - December 31, 2025

BRIGHTON SECURITIES CORP.

RIA

CRD#: 3875

Hamburg, NY

Past

September 2, 2021 - December 31, 2025

BRIGHTON SECURITIES CORP.

CRD#: 3875

Hamburg, NY

Past

November 28, 2011 - August 31, 2021

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

JAMESTOWN, NY

Past

May 22, 2007 - December 31, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

JAMESTOWN, NY

Past

March 3, 2003 - May 25, 2007

NEW ENGLAND SECURITIES

CRD#: 615

JAMESTOWN, NY

Past

December 3, 1998 - December 31, 2002

SAPERSTON ASSET MANAGEMENT, INC.

CRD#: 44379

HAMBURG, NY

Past

April 13, 1994 - December 7, 1998

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

January 17, 1994 - April 21, 1994

MATHEWS, HOLMQUIST & ASSOCIATES, INC.

CRD#: 22171

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAPERSTON LEGACY ADVISORS, INC.

SAPERSTON LEGACY ADVISORS, INC. | WILLARD B SAPERSTON, INC.

CRD#: 105849 / SEC#: 801-121038

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

New York

Registered Investment Advisory firm - (6/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/3/2025)

IAR

New York
(6/29/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/14/1994

General Securities Representative Examination

Current Firm

SAPERSTON LEGACY ADVISORS, INC.

SAPERSTON LEGACY ADVISORS, INC. | WILLARD B SAPERSTON, INC.

CRD#: 105849 / SEC#: 801-121038

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

New York

Registered Investment Advisory firm - (6/8/2021 Terminated)

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Contact information

Main Address

172 Lake Street, Hamburg, NY 14075

Mailing Address

Phone number

(716) 649-9800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAPERSTON LEGACY ADVISORS, INC. FIRM BROCHURE (1/30/2026)

Regulatory assets under management

Total Number of Accounts	121
AUM (Assets Under Management)	$ 56,919,495

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/21/2026	Cover Page	Report
01/27/2025	Cover Page	Report
07/26/2023	Cover Page	Report

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.

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James G. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gordon Taylor III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRIGHTON SECURITIES CORP.

BRIGHTON SECURITIES CORP.

FIRST ALLIED SECURITIES, INC.

SECURITIES AMERICA, INC.

NEW ENGLAND SECURITIES

SAPERSTON ASSET MANAGEMENT, INC.

JOSEPHTHAL & CO., INC.

MATHEWS, HOLMQUIST & ASSOCIATES, INC.

Primary Firm SEC Registration

SAPERSTON LEGACY ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2021

Series 63

Date: 1/20/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/14/1994

Current Firm

SAPERSTON LEGACY ADVISORS, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAPERSTON LEGACY ADVISORS, INC.

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