Christine A. 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.
Christine Ann Taylor, who also goes by Chris Ann Taylor, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1999. Christine had worked at 7 firms and has passed the Series 65, Series 63 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
January 18, 2008 - October 31, 2018
REGIONS INVESTMENT MANAGEMENT, INC.
October 20, 2003 - January 20, 2005
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
October 20, 2003 - January 29, 2008
AMSOUTH ASSET MANAGEMENT, INC.
November 6, 2002 - October 20, 2003
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
October 28, 2002 - March 9, 2004
AMSOUTH INVESTMENT SERVICES, INC.
April 20, 2000 - June 14, 2002
CITIGROUP GLOBAL MARKETS INC.
April 20, 2000 - June 14, 2002
CITIGROUP GLOBAL MARKETS INC.
August 14, 1999 - February 22, 2000
IDS LIFE INSURANCE COMPANY
August 14, 1999 - February 22, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
REGIONS INVESTMENT MANAGEMENT, INC.
CRD#: 111715 / SEC#: 801-27629
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
REGIONS INVESTMENT MANAGEMENT, INC.
CRD#: 111715 / SEC#: 801-27629
Contact information
SEC notice filing (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 18,723,692,464 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/25/2025 | ||
| 09/14/2023 |
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.
