Christopher G. Taylor
Professional summary
Christopher George Taylor was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Christopher had worked at 6 firms, which includes PURSHE KAPLAN STERLING INVESTMENTS, HIGHTOWER FINANCIAL PARTNERS, CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., PRINCIPAL SECURITIES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2014 - August 20, 2015
PURSHE KAPLAN STERLING INVESTMENTS
September 11, 2014 - December 31, 2019
HIGHTOWER FINANCIAL PARTNERS
June 3, 2009 - October 20, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 1, 2009 - October 20, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 25, 2006 - May 8, 2009
PRINCIPAL SECURITIES, INC.
January 13, 2003 - May 8, 2009
PRINCIPAL SECURITIES, INC.
August 12, 1999 - December 13, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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