James A. Taylor

MAIN MANAGEMENT

Edgewood, KY

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CRD#: 2783329

Professional summary

James Augusta Taylor, who also goes by James A Taylor, Jim Augusta Taylor, Jimmy Taylor, is a registered financial advisor currently at MAIN MANAGEMENT, LLC located in Edgewood, Kentucky.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 13 firms and has passed the Series 63, Series 65, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James A Taylor | Jim Augusta Taylor | Jimmy 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.

MR. TAYLOR IS A DISTRIBUTOR OF NUTRITIONAL PRODUCTS FOR ISAGENICS-ZIJA, LOCATED AT 155 EAST RIVULON BOULEVARD, SUITE 104, GILBERT, AZ 85297. MR. TAYLOR BEGAN THIS NON INVESTMENT RELATED ACTIVITY IN FEBRUARY 2011 AND SPENDS TWO HOURS PER MONTH EDUCATING PEOPLE ABOUT NUTRITIONAL PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Augusta Taylor'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

May 21, 2019 - Present

MAIN MANAGEMENT, LLC

RIA

CRD#: 120361

Edgewood, KY

Past

March 28, 2022 - June 30, 2022

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

July 10, 2019 - March 18, 2022

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

ROCKVILLE, MD

Past

August 30, 2016 - June 4, 2019

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 125446

Hebron, KY

Past

August 30, 2013 - May 20, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CINCINNATI, OH

Past

August 26, 2011 - April 30, 2013

SCOTTRADE, INC.

CRD#: 8206

FLORENCE, KY

Past

December 20, 2010 - August 19, 2011

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CINCINNATI, OH

Past

December 15, 2010 - August 19, 2011

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

October 26, 2007 - February 18, 2009

TRIAD ADVISORS LLC

CRD#: 25803

CINCINNATI, OH

Past

May 19, 2005 - January 18, 2006

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

May 3, 2004 - May 11, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 10, 2001 - May 30, 2002

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

Past

January 26, 2001 - July 31, 2001

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 2, 1997 - January 26, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

August 26, 1996 - September 2, 1997

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

MAIN MANAGEMENT, LLC

CRD#: 120361 / SEC#: 801-61113

RIA

Registered Investment Advisory firm - (4/30/2002 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.

Highlighted states indicate IAR registrations

IAR

Kentucky
(5/21/2019)

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

Series 63

Date: 8/19/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/30/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 8/23/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 2/9/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/5/2001

General Securities Sales Supervisor - General Module Examination

Current Firm

MAIN MANAGEMENT, LLC

CRD#: 120361 / SEC#: 801-61113

RIA

Registered Investment Advisory firm - (4/30/2002 Approved)

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Contact information

Main Address

601 California Street Suite 300, San Francisco, CA 94108

Mailing Address

Phone number

(415) 217-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAIN MANAGEMENT FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	314
AUM (Assets Under Management)	$ 1,649,126,692

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 A. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

CEROS FINANCIAL SERVICES, INC.

ORION PORTFOLIO SOLUTIONS, LLC

WELLS FARGO CLEARING SERVICES, LLC

SCOTTRADE, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

TRIAD ADVISORS LLC

ADP BROKER-DEALER, INC.

OSAIC WEALTH, INC.

PNC BROKERAGE CORP

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

MAIN MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/2019

Series 65

Date: 8/30/2016

Series 7

Date: 8/23/1996

Series 9

Date: 2/9/2001

Series 10

Date: 2/5/2001

Current Firm

MAIN MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIN MANAGEMENT, LLC

TRUST BUT VERIFY

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