Francis M. 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.
Francis Mortimer Taylor JR, who also goes by Pete Taylor, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1966. Francis had worked at 13 firms and has passed the Series 63, Series 1, Series 000 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2010 - December 31, 2012
NORTHEAST SECURITIES, LLC
July 30, 1998 - January 11, 2010
TAYLOR CAPITAL MANAGEMENT INC.
March 29, 1993 - November 19, 1998
ROYCE INVESTMENT GROUP, INC.
November 10, 1987 - March 24, 1993
PHILLIP LOUIS TRADING, INC.
April 22, 1987 - August 3, 1987
CLG INVESTMENT COMPANY, INC.
November 19, 1985 - April 14, 1987
RAYMOND JAMES & ASSOCIATES, INC.
April 19, 1983 - November 1, 1985
ROONEY, PACE INC.
November 20, 1981 - February 4, 1994
F.M. TAYLOR AND COMPANY, INC.
July 23, 1979 - February 5, 1982
FAHERTY & FAHERTY INC.
January 18, 1978 - August 29, 1979
LOEB PARTNERS
April 24, 1973 - May 2, 1977
LOEB, RHOADES & CO., INCORPORATED
August 26, 1971 - January 18, 1978
LOEB, RHOADES & CO. INC.
September 19, 1966 - February 4, 1971
KIDDER, PEABODY & CO., INCORPORATED
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
Series 1
Date: 9/16/1966
Registered Representative ExaminationSeries 000
Date: 8/16/1966
General Securities Principal ExaminationSeries 40
Date: 11/20/1975
Registered Principal ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
