James Augusta Taylor
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James A Taylor, Jim Augusta Taylor, Jimmy Taylor
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
MAIN MANAGEMENT, LLC
Contact Information
Main Address
601 California Street Suite 300, San Francisco, CA 94108Phone Number
(415) 217-5800# of Employees
27SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
337AUM (Assets Under Management)
$1,904,324,653Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
MAIN MANAGEMENT, LLC
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2001About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2001About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Augusta Taylor's CRS (Customer Relationship Summary).
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