James T. Taylor

VIRTUS INVESTMENT ADVISERS

Hartford, CT 06103

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CRD#: 2570021

Professional summary

James Thomas Taylor, who also goes by James Thomas Taylor Jr, Jim Taylor Jr, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Hartford, Connecticut and VP DISTRIBUTORS LLC located in Hartford, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Thomas Taylor Jr | Jim Taylor Jr

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 Thomas 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®

None

Experience

Current

November 30, 2020 - Present

VIRTUS INVESTMENT ADVISERS, LLC

Office #1: One Financial Plaza 26th Floor, Hartford, CT 06103

RIA

CRD#: 106982

Hartford, CT

Current

February 4, 2020 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103

CRD#: 3036

Hartford, CT

Past

March 18, 2016 - October 18, 2019

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

May 29, 2015 - October 18, 2019

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

July 31, 1997 - May 15, 2015

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

May 23, 1996 - July 22, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

March 22, 1995 - June 11, 1996

PATTERSON TRAVIS, INC.

CRD#: 16540

ENGLEWOOD, CO

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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.

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

Alabama
(2/25/2020)

Alaska
(3/4/2020)

Arizona
(2/25/2020)

Arkansas
(2/26/2020)

California
(2/4/2020)

Colorado
(2/25/2020)

Connecticut
(2/24/2020)

IAR

Connecticut
(11/30/2020)

Delaware
(2/25/2020)

District of Columbia
(2/20/2020)

Florida
(2/17/2020)

Georgia
(2/11/2020)

Hawaii
(3/3/2020)

Idaho
(2/5/2020)

Illinois
(3/3/2020)

Indiana
(2/25/2020)

Iowa
(2/11/2020)

Kansas
(2/10/2020)

Kentucky
(2/27/2020)

Louisiana
(2/26/2020)

Maine
(2/4/2020)

Maryland
(2/4/2020)

Massachusetts
(2/5/2020)

Michigan
(2/11/2020)

Minnesota
(3/3/2020)

Mississippi
(2/28/2020)

Missouri
(2/4/2020)

Montana
(2/4/2020)

Nebraska
(2/25/2020)

Nevada
(3/10/2020)

New Hampshire
(2/27/2020)

New Jersey
(2/25/2020)

New Mexico
(2/28/2020)

New York
(2/24/2020)

North Carolina
(2/6/2020)

North Dakota
(2/26/2020)

Ohio
(2/4/2020)

Oklahoma
(2/25/2020)

Oregon
(2/5/2020)

Pennsylvania
(2/5/2020)

Puerto Rico
(2/11/2020)

Rhode Island
(2/25/2020)

South Carolina
(2/25/2020)

South Dakota
(2/26/2020)

Tennessee
(2/25/2020)

Texas
(2/13/2020)

Utah
(2/4/2020)

Vermont
(2/25/2020)

Virginia
(3/2/2020)

Washington
(2/27/2020)

West Virginia
(2/25/2020)

Wisconsin
(2/4/2020)

Wyoming
(2/27/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1995

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: 3/21/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 12/29/2020

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

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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Advisor Monitoring

Firm Stability Insights

James T. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

VP DISTRIBUTORS LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

SANFORD C. BERNSTEIN & CO., LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

ARGENT SECURITIES, INC.

PATTERSON TRAVIS, INC.

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/2020

Series 63

Date: 3/28/1995

SIE

Date: 10/1/2018

Series 7

Date: 3/21/1995

Series 51

Date: 12/29/2020

Series 24

Date: 3/26/2001

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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