Richard Patrick Taggart
Professional Summary
Richard Patrick Taggart is a registered financial advisor currently at AMERICAN FUNDS & TRUSTS INCORPORATED located in Salt Lake City, Utah. Richard is registered as a RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN FUNDS & TRUSTS INCORPORATED
Contact Information
Main Address
3030 South Main Street Suite 100, Salt Lake City, UT 84115-3554Mailing Address
3030 South Main Street Suite 100, Salt Lake City, UT 84115-3554Phone Number
(801) 466-8701Established
Utah since 11/03/1958Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
OSAIC WEALTH, INC.
NET WORTH ADVISORY GROUP, LLC
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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.
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State Registrations and Notice Filings
(4/2/1998)
(1/16/2004)
(4/9/1997)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1997About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2016About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Patrick Taggart's CRS (Customer Relationship Summary).
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