Arthur W. 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.
Arthur William Taylor was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1995. Arthur had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
March 23, 2010 - December 21, 2016
INVEST FINANCIAL CORPORATION
March 23, 2010 - December 21, 2016
INVEST FINANCIAL CORPORATION
May 13, 2005 - March 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2005 - March 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2004 - May 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 16, 2000 - May 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1999 - October 13, 2000
TUCKER ANTHONY INCORPORATED
March 14, 1997 - September 1, 1999
GIBRALTAR SECURITIES CO.
September 20, 1996 - May 16, 1997
FIRST INTERREGIONAL EQUITY CORP.
October 30, 1995 - September 5, 1996
FAIRCHILD FINANCIAL GROUP, INC.
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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