Jeffrey S. Taylor

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CRD#: 2951754

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.

Jeffrey Scott Taylor, CFP® was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1997. Jeffrey had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Retirement Planning

Education Planning

Comprehensive Financial Planni...

Investment Planning

What is your minimum asset requirement?

100K

Are you a "fiduciary"?

Aliases

None

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.

1. 7/9/2013 - IXONIA WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/18/2015 - No Business Name - Not Investment Related - At Reported Business Location(s) - Notary - Started 11/01/2015 - Provide Notary services for bank customers. 3. 09/20/2024 - Stone Point Investments - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/30/2024 - 180 Hours Per Month/ During Trading

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Past

April 10, 2025 - April 18, 2025

ASSOCIATED INVESTMENT SERVICES, INC.

RIA

CRD#: 1464

WATERTOWN, WI

Past

April 10, 2025 - April 18, 2025

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

WATERTOWN, WI

Past

July 11, 2006 - April 11, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

WATERTOWN, WI

Past

July 11, 2006 - April 11, 2025

LPL FINANCIAL LLC

CRD#: 6413

WATERTOWN, WI

Past

April 4, 2006 - May 3, 2006

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GLENDALE, WI

Past

February 28, 2005 - February 22, 2006

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WAUWATOSA, WI

Past

February 28, 2005 - February 22, 2006

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

December 2, 2004 - February 25, 2005

VISION INVESTMENT SERVICES, INC.

CRD#: 46609

ROSEMONT, IL

Past

August 12, 2004 - August 27, 2004

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

OCONOMOWOC, WI

Past

August 9, 2004 - August 27, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

February 19, 2002 - May 24, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

July 5, 2000 - August 17, 2001

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

Past

October 16, 1997 - June 15, 2000

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464 / SEC#: 801-71639, 8-99

RIA

Registered Investment Advisory firm - SEC (7/1/2010 Approved)

Illinois

Registered Investment Advisory firm - SEC (7/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/20/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 66

Date: 10/21/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/15/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464 / SEC#: 801-71639, 8-99

RIA

Registered Investment Advisory firm - SEC (7/1/2010 Approved)

Illinois

Registered Investment Advisory firm - SEC (7/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/20/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

433 Main Street, Green Bay, WI 54301-5114

Mailing Address

P.o. Box 640, Green Bay, WI 54305-0640

Phone number

(800) 595-7722

Established

Wisconsin since 03/23/1923

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (19 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025-08-29 FORM ADV (8/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ASSOCIATED TRUST COMPANY, N.A.	SOLE SHAREHOLDER
ARNOLD, ANDREW JAMES	DIRECTOR, TREASURER	7744204
BIESE, JUSTIN MICHAEL	PRINCIPAL, FINANCIAL REPORTING	8134423
CRAVILLION, BETH ANN	DIRECTOR OF SUPPORT SERVICES	4770231
DELOYE, DENNIS MICHAEL	DIRECTOR, BOARD OF DIRECTORS	7555524
HLADIO, JAYNE CLARA	DIRECTOR, BOARD OF DIRECTORS	2497546
HOCHHOLZER, MICHAEL ROBERT	DIRECTOR, BOARD OF DIRECTORS	2878493
KUIPERS, MICHAEL DAVID	DIRECTOR, PRESIDENT & CEO	2436388
PECORA, ANTHONY PHILIP	CHIEF COMPLIANCE OFFICER	2975013
SORENSON, HEATH WILLIAM	CHAIRMAN, BOARD OF DIRECTORS	4528655
ZANDPOUR, STEVEN SIA	DIRECTOR, BOARD OF DIRECTORS	7174720

Regulatory assets under management

Total Number of Accounts	5,050
AUM (Assets Under Management)	$ 1,000,633,569

Disclosures

Regulatory Event	2
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/15/2025	Cover Page	Report
09/26/2024	Cover Page	Report
08/21/2023	Cover Page	Report
10/19/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Jeffrey S. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSOCIATED INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EMPOWER FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

VISION INVESTMENT SERVICES, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

ESSEX NATIONAL SECURITIES, LLC

STRONG INVESTMENTS, INC.

WADDELL & REED

Primary Firm SEC Registration

ASSOCIATED INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2000

Series 6

Date: 10/15/1997

Current Firm

ASSOCIATED INVESTMENT SERVICES, INC.

Contact information

SEC notice filing (19 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ASSOCIATED INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

Contact information

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