John A. Taylor
Professional summary
John Albert Taylor JR, who also goes by John / Jack Albert Taylor Jr., is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Caldwell, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Albert Taylor JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 23, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 309 Bloomfield Ave Ste 2, Caldwell, NJ 07006January 24, 2020 - December 23, 2021
OSAIC SERVICES, INC.
September 27, 2016 - January 2, 2020
WORLD INVESTMENTS, LLC
January 9, 2014 - January 2, 2015
WORLD INVESTMENTS, LLC
August 10, 2011 - November 18, 2013
SUMMIT EQUITIES, INC.
November 7, 2005 - August 25, 2011
GROVE POINT INVESTMENTS, LLC
October 24, 2005 - December 5, 2005
CETERA FINANCIAL SPECIALISTS LLC
December 20, 2000 - October 24, 2005
C. J. M. PLANNING CORP.
January 16, 1998 - December 15, 2000
AVANTAX INVESTMENT SERVICES, 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
(12/23/2021)
(12/23/2021)
Exams
FINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
