NT
Nicholas F. Taggart
ACR ALPINE CAPITAL RESEARCH
CANBY, OR
Some features on this profile are disabled
CRD#: 4353676
NT
Professional summary
Nicholas Foulger Taggart, CFP®, who also goes by Nicholas F Taggart, is a registered financial advisor currently at ACR ALPINE CAPITAL RESEARCH, LLC located in Canby, Oregon and IMST DISTRIBUTORS, LLC located in St. Louis, Missouri.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Nicholas has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas F Taggart
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.
1) Alpine Capital Research, LLC, Investment Related, Canby, OR, Managing Director - Client Relationships, Began 10/2017, 200 Hours Per Month, 120 During Trading Hours 2) Taggart rental property; Canby, OR; Investment Related - No; Started 04/2023; Rental Property; Joint owner; 1 hour per month with 0 hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Foulger Taggart's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 8, 2017 - Present
ACR ALPINE CAPITAL RESEARCH, LLC
RIA
CRD#: 110933
CANBY, OR
Current
November 15, 2017 - Present
IMST DISTRIBUTORS, LLC
Office #1: 190 Carondelet Plaza Suite 1300, St. Louis, MO 63105BD
CRD#: 130745
St. Louis, MO
Past
February 28, 2012 - October 18, 2017
CETERA ADVISORS LLC
RIA
CRD#: 10299
PORTLAND, OR
Past
February 28, 2012 - October 18, 2017
CETERA ADVISORS LLC
BD
CRD#: 10299
PORTLAND, OR
Past
November 21, 2006 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
August 5, 2005 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
TIGARD, OR
Past
November 12, 2003 - August 10, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
March 12, 2001 - June 21, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ACR ALPINE CAPITAL RESEARCH, LLC
ACR ALPINE CAPITAL RESEARCH, LLC | ALPINE PRIVATE CAPITAL | ALPINE INVESTMENT MANAGEMENT,LLC | ACR ALPINE CAPTIAL RESEARCH
CRD#: 110933 / SEC#: 801-60694
RIA
Registered Investment Advisory firm - (11/13/2001 Approved)Indiana
Registered Investment Advisory firm - (9/28/2002 Terminated)Missouri
Registered Investment Advisory firm - (11/13/2001 Terminated)Texas
Registered Investment Advisory firm - (11/30/2001 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2021)
RR
Alaska(1/5/2021)
RR
Arizona(2/9/2018)
RR
Arkansas(2/28/2022)
RR
California(11/15/2017)
RR
Colorado(2/9/2018)
RR
Florida(2/9/2018)
RR
Georgia(2/9/2018)
RR
Hawaii(2/9/2018)
RR
Idaho(2/9/2018)
RR
Illinois(2/9/2018)
RR
Indiana(2/9/2018)
RR
Iowa(2/9/2018)
RR
Kansas(2/9/2018)
RR
Kentucky(1/20/2022)
RR
Louisiana(1/5/2021)
RR
Michigan(2/9/2018)
RR
Minnesota(2/9/2018)
RR
Mississippi(1/5/2021)
IAR
Missouri(11/15/2017)
RR
Missouri(1/19/2018)
RR
Montana(2/9/2018)
RR
Nebraska(2/9/2018)
RR
Nevada(2/9/2018)
RR
New Mexico(2/9/2018)
RR
North Carolina(2/13/2018)
RR
North Dakota(1/5/2021)
RR
Ohio(2/9/2018)
RR
Oklahoma(2/9/2018)
IAR
Oregon(11/8/2017)
RR
Oregon(1/11/2018)
RR
South Carolina(2/9/2018)
RR
South Dakota(1/5/2021)
RR
Tennessee(2/9/2018)
IAR
Texas(11/9/2017)
RR
Texas(11/15/2017)
RR
Utah(2/9/2018)
RR
Washington(1/12/2018)
RR
Wisconsin(2/9/2018)
RR
Wyoming(1/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ACR ALPINE CAPITAL RESEARCH, LLC
ACR ALPINE CAPITAL RESEARCH, LLC | ALPINE PRIVATE CAPITAL | ALPINE INVESTMENT MANAGEMENT,LLC | ACR ALPINE CAPTIAL RESEARCH
CRD#: 110933 / SEC#: 801-60694
RIA
Registered Investment Advisory firm - (11/13/2001 Approved)Indiana
Registered Investment Advisory firm - (9/28/2002 Terminated)Missouri
Registered Investment Advisory firm - (11/13/2001 Terminated)Texas
Registered Investment Advisory firm - (11/30/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
190 Carondelet Plaza Suite 1300, St. Louis, MO 63105
Mailing Address
Phone number
(314) 932-7600
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,394 |
| AUM (Assets Under Management) | $ 8,511,877,560 |
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.
