Lee B. Taylor
Professional summary
Lee Bryan Taylor was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lee is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Lee had worked at 4 firms, which includes PURSHE KAPLAN STERLING INVESTMENTS, NEXT FINANCIAL GROUP INC., AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2011 - September 28, 2021
PURSHE KAPLAN STERLING INVESTMENTS
March 1, 2007 - October 5, 2011
NEXT FINANCIAL GROUP, INC.
September 9, 2005 - October 5, 2011
NEXT FINANCIAL GROUP, INC.
November 20, 2003 - September 12, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 2000 - September 12, 2005
IDS LIFE INSURANCE COMPANY
February 22, 2000 - September 12, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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