Duane P. Taylor
Professional summary
Duane Patrick Taylor was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Duane is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Duane had worked at 2 firms, which includes SOUTHERN FINANCIAL GROUP INC., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1998 - October 27, 1998
SOUTHERN FINANCIAL GROUP, INC.
April 21, 1997 - May 7, 1998
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOUTHERN FINANCIAL GROUP, INC.
CRD#: 16714 / SEC#: , 8-34534
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ATLANTIC SECURITIES EXCHANGE, INC. | OWNERSHIP | |
| BANK, FRANK TOM | EXECUTIVE VICE PRESIDENT/MUNICIPAL PRINCIPAL | 500594 |
| COLLINS, CLELLAND DAVID JR | SECRETARY, EXC. VICE PRES. | 2331596 |
| MAURER, MARK HENRY | EXECUTIVE VICE PRESIDENT/OPERATIONS/DIRECTOR OF COMPLIANCE/ SROP/CROP | 1496683 |
| WOOTEN, RICHARD MCNAIR | CHAIRMAN/CFO, PRESIDENT/CEO |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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