Calvin M. 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.
Calvin Mark Taylor, who also goes by Calvin Mark Taylor Jr, Mark Taylor, Calvin Mark Taylor, was a registered financial professional .
Calvin is a previously registered financial professional and started their career in finance in 1998. Calvin had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 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
June 4, 2018 - December 18, 2019
PRINCIPAL SECURITIES, INC.
March 25, 2017 - March 9, 2018
MML INVESTORS SERVICES, LLC
June 27, 2013 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
August 22, 2012 - February 27, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
December 3, 2010 - November 21, 2011
NATIONWIDE SECURITIES, LLC
July 7, 2010 - September 22, 2010
ONEAMERICA SECURITIES, INC.
July 20, 2009 - September 22, 2010
ONEAMERICA SECURITIES, INC.
July 16, 2007 - July 30, 2008
SIGNATOR INVESTORS, INC.
March 29, 2007 - July 30, 2008
SIGNATOR INVESTORS, INC.
February 24, 2005 - March 23, 2007
FIFTH THIRD SECURITIES, INC.
January 6, 2005 - March 23, 2007
FIFTH THIRD SECURITIES, INC.
July 28, 2003 - December 14, 2004
VALIC FINANCIAL ADVISORS, INC.
June 4, 2003 - December 14, 2004
VALIC FINANCIAL ADVISORS, INC.
January 17, 2003 - June 10, 2003
QUICK & REILLY, INC.
January 17, 2003 - June 10, 2003
QUICK & REILLY, INC.
July 10, 2001 - October 9, 2002
AMSOUTH INVESTMENT SERVICES, INC.
June 17, 1998 - July 3, 2001
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
