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Marcus Taylor

Some features on this profile are disabled
CRD#: 4119464
MT

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.

Marcus Taylor, who also goes by Marcus J. Taylor, Marcus James Taylor, was a registered financial professional .

Marcus is a previously registered financial professional and started their career in finance in 2000. Marcus had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marcus J. Taylor | Marcus James Taylor

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 9, 2017 - March 24, 2017

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
CHARLOTTE, NC
Past

August 19, 2014 - January 6, 2015

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLOTTE, NC
Past

August 14, 2014 - January 6, 2015

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
CHARLOTTE, NC
Past

February 17, 2012 - June 17, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC
Past

February 10, 2012 - June 17, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

January 23, 2009 - February 24, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
CHARLOTTE, NC
Past

October 13, 2006 - February 24, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

January 13, 2006 - September 22, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
CHARLOTTE, NC
Past

May 21, 2004 - February 22, 2005

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEW YORK, NY
Past

October 1, 2000 - May 13, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 8, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

February 3, 2000 - August 4, 2000

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/16/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/24/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/2/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.

CRD#: 136131 / SEC#: , 8-66982

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLY INVEST GROUP INC.OWNER
LIETKE, FRANK GREGORYPRESIDENT6900716
MARTIN, ALEX MICHAELPRINCIPAL FINANCIAL OFFICER5639666
POWELL, BENJAMIN TRACYPRINCIPAL OPERATIONS OFFICER2438200
SYKES, ROBERT CHRISTOPHERCHIEF COMPLIANCE OFFICER2775993

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

ALLY INVEST SECURITIES LLC

CRD#: 136131

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