Paul 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.
Paul William Taylor was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1997. Paul had worked at 4 firms and has passed the Series 63 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
September 1, 2006 - April 25, 2014
CASTLE CREEK FINANCIAL LLC
April 5, 2001 - September 16, 2004
COMMUNITY BANKERS SECURITIES, LLC
May 6, 1998 - April 13, 2000
AFFILIATED BANKERS CAPITAL, L.L.C.
February 26, 1997 - April 22, 1997
KEY INVESTMENTS 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
CASTLE CREEK FINANCIAL LLC
CRD#: 39063 / SEC#: , 8-48686
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
