Patrick S. 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.
Patrick Sean Taylor was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1997. Patrick had worked at 10 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
January 17, 2014 - September 8, 2014
GLOBAL ARENA CAPITAL CORP
June 26, 2012 - April 17, 2013
MML INVESTORS SERVICES, LLC
August 4, 2008 - July 1, 2010
PRESTIGE FINANCIAL CENTER, INC.
January 11, 2008 - August 11, 2008
CLARK DODGE & CO., INC.
March 26, 2007 - December 17, 2007
NEWBRIDGE SECURITIES CORPORATION
November 10, 2000 - April 27, 2007
JOSEPH STEVENS & CO., INC.
November 29, 1999 - October 31, 2000
TRADE.COM ONLINE SECURITIES, INC.
February 10, 1998 - December 1, 1999
WIN CAPITAL CORP.
December 23, 1997 - February 3, 1998
VISTA SECURITIES INC.
May 1, 1997 - December 17, 1997
ROYCE INVESTMENT GROUP, 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
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 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.
