Steven 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.
Steven Taylor, CFP®, who also goes by Steven J Taylor, Steven Jerome Taylor, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2007. Steven had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2012
Experience
August 15, 2018 - March 21, 2019
FINIVI INC.
April 28, 2016 - July 31, 2018
COLT FINANCIAL
March 1, 2016 - March 30, 2016
MML INVESTORS SERVICES, LLC
February 24, 2016 - March 30, 2016
MML INVESTORS SERVICES, LLC
April 27, 2015 - February 8, 2016
SOCIETY OF GROWNUPS, LLC
November 20, 2012 - December 10, 2014
STRATEGIC ADVISERS LLC
November 12, 2012 - December 8, 2014
FIDELITY BROKERAGE SERVICES LLC
March 2, 2012 - November 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2012 - November 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2012 - February 22, 2012
VOYA FINANCIAL ADVISORS, INC.
December 12, 2011 - February 22, 2012
VOYA FINANCIAL ADVISORS, INC.
February 24, 2010 - December 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2010 - December 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2008 - December 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 24, 2007 - September 14, 2007
FIDELITY BROKERAGE SERVICES LLC
May 7, 2007 - July 24, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
FINIVI INC.
CRD#: 292329 / SEC#: 801-112470
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
FINIVI INC.
CRD#: 292329 / SEC#: 801-112470
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,223 |
| AUM (Assets Under Management) | $ 258,221,772 |
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.
