ST
Stephen A. Taylor
NEW ENGLAND SCHOONER
PEABODY, MA 01960
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CRD#: 2562584
ST
Professional summary
Stephen Andrew Taylor is a registered financial advisor currently at NEW ENGLAND SCHOONER, INC. located in Peabody, Massachusetts and OSAIC WEALTH, INC. located in Peabody, Massachusetts.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. ISD,2300 WINDY RIDGE PARKWAY / SUITE 1100 / ATLANTA, GA / 30339, SELL FIXED INSURANCE, LTC INSURANCE. 1 HR MONTH, SELLING AGENT. NEW ENGLAND SCHOONER INC,YES, 3 CENTENNIAL DR PEABODY MA 01960, SVP, 3/00, 65HR/MO, 4HRS DT, CREATE AND OVERSEE CLIENT PORTFOLIOS. ISD, NO, 2300 WINDY RIDGE PKWY, STE 1100 ATLANTA GA 30339, STATUTORY AGENT, 12/06, 1HR/MO, 0HRS DT, SELL FIXED AND LTC INSURANCE. AIG/ROYAL ALLIANCE, NO, ONE WORLD FNCL CTR 15TH FL, NY NY 10281, REG REP, 1/95, 0HR/MO, 0HRS DT, CURRENTLY DO NOT USE THE CORP RIA. 2. NEW ENGLAND SCHOONER INC POSITION: svp NATURE: Registered Investment Adviser - INVESTMENT RELATED: Yes NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 48 START DATE: 03/22/2000 ADDRESS: 3 centennial dr peabody ma 01960, peabody MA 01960, United States DESCRIPTION: create and oversee client portfolios and meet with clients
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Andrew Taylor's 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®
NoneExperience
Current
July 7, 2006 - Present
NEW ENGLAND SCHOONER, INC.
Office #1: 3 Centennial Drive, Peabody, MA 01960RIA
CRD#: 129552
PEABODY, MA
Current
January 13, 1995 - Present
OSAIC WEALTH, INC.
Office #1: 3 Centennial Drive Suite 300, Peabody, MA 01960RIA
BD
CRD#: 23131
Peabody, MA
Past
April 3, 1995 - July 24, 1996
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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".
NE
NEW ENGLAND SCHOONER, INC.
NEW ENGLAND SCHOONER, INC.
CRD#: 129552 / SEC#: 801-133872
RIA
Registered Investment Advisory firm - (7/14/2025 Approved)Maine
Registered Investment Advisory firm - (7/28/2025 Terminated)Massachusetts
Registered Investment Advisory firm - (7/23/2025 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(6/30/2021)
RR
Louisiana(6/30/2021)
RR
Maine(8/5/1998)
RR
Massachusetts(1/23/1995)
IAR
Massachusetts(7/7/2006)
RR
New Hampshire(7/6/1999)
RR
Rhode Island(9/7/1999)
RR
Texas(10/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NE
NEW ENGLAND SCHOONER, INC.
NEW ENGLAND SCHOONER, INC.
CRD#: 129552 / SEC#: 801-133872
RIA
Registered Investment Advisory firm - (7/14/2025 Approved)Maine
Registered Investment Advisory firm - (7/28/2025 Terminated)Massachusetts
Registered Investment Advisory firm - (7/23/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3 Centennial Drive Suite 300, Peabody, MA 01960
Mailing Address
Phone number
(978) 977-4757
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 130,765,580 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEW ENGLAND SCHOONER, INC.
CRD#: 129552Peabody, MA 01960TRUST BUT VERIFY
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