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RT

Richard W. Taylor

Some features on this profile are disabled
CRD#: 443437
RT

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.

Richard William Taylor was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1967. Richard had worked at 9 firms and has passed the Series 65, Series 63, PC and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 21, 2013 - April 16, 2013

BISHOP, ROSEN & CO., INC.

BD
CRD#: 1248
NEW YORK, NY
Past

January 3, 2003 - November 21, 2012

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

June 14, 1993 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 24, 1983 - May 27, 1993

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

March 5, 1982 - February 8, 1983

STAMFORD CAPITAL, STERLING GRACE & CO., INC.

BD
CRD#: 8282
Past

February 23, 1979 - December 16, 1981

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

April 28, 1976 - February 23, 1979

MOSELEY, HALLGARTEN & ESTABROOK INC

BD
CRD#: 7501
Past

January 16, 1975 - April 28, 1976

MOSELEY, HALLGARTEN & ESTABROOK INC.

BD
CRD#: 6679
Past

April 27, 1967 - February 20, 1975

STERLING GRACE & CO INCORPORATED

BD
CRD#: 1000002

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
IAR
Series 65
Date: 2/25/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/7/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 9/2/1977
AMEX Put and Call Exam
Principal/Supervisory Exam
RR
Series 40
Date: 4/24/1967
Registered Principal Examination

Current Firm

BR
BISHOP, ROSEN & CO., INC.
BISHOP, ROSEN & CO., INC.

CRD#: 1248 / SEC#: , 8-12140

BD
Terminated by SEC on 11/19/2016
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Contact information

Main Address
100 Broadway 16th Floor, New York, NY, 10005
Mailing Address
Phone number
Established
New York since 08/18/1964
Firm type
Other Types of Legal Formation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ROSEN, ROBERT STEPHENPRESIDENT, DIRECTOR, CEO404271
SCHLESINGER, ISAACVP, SECRETARY, DIRECTOR, CFO, COO, CCO413636
MURPHY, THOMAS JAMESVP839873

Disclosures

Regulatory Event15
Arbitration1
Bond1

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

BISHOP, ROSEN & CO., INC.

CRD#: 1248

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