Thomas J. 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.
Thomas Jefferson Taylor was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 5 firms and has passed the Series 63, Series 55 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
July 30, 2012 - June 24, 2013
MANTARAX, LLC
August 21, 2003 - May 9, 2012
UNX LLC
February 18, 1999 - January 2, 2003
PROTRADER SECURITIES L.P.
September 29, 1998 - December 18, 1998
SUMMIT TRADING, INC.
July 20, 1998 - October 7, 1998
BLOCK TRADING 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
Series 55
Date: 12/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
MANTARAX, LLC
CRD#: 150450 / SEC#: , 8-68259
Contact information
Documents
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.
