Steve L. 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.
Steve Lloyd Taylor, who also goes by Stephen Lloyd Taylor, Stephen Taylor, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1994. Steve had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
September 21, 2015 - July 28, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 11, 2015 - July 28, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 25, 2013 - September 14, 2015
D.A. DAVIDSON & CO.
November 25, 2013 - September 14, 2015
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
July 8, 1997 - November 4, 2013
CROWELL, WEEDON & CO.
June 2, 1997 - November 4, 2013
CROWELL, WEEDON & CO.
September 29, 1994 - June 5, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
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.
