Thomas T. 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.
Thomas Tyler Taylor was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 5 firms and has passed the Series 63, Series 18, Series 1, Series 27, Series 24 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
November 21, 1984 - June 11, 2001
CHESAPEAKE SECURITIES RESEARCH CORPORATION
April 14, 1983 - November 29, 1984
BAKER, WATTS & CO., INC.
October 12, 1973 - April 18, 1983
LEGG MASON WOOD WALKER, INCORPORATED
November 27, 1972 - October 12, 1973
EASTERN SECURITIES, INC.
February 5, 1969 - January 17, 1972
EQUIVEST SECURITIES CORPORATION
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 18
Date: 1/22/1980
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 8/25/1967
Registered Representative ExaminationSeries 40
Date: 12/30/1968
Registered Principal ExaminationCurrent Firm
CHESAPEAKE SECURITIES RESEARCH CORPORATION
CRD#: 14161 / SEC#: , 8-30301
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERCHANTS BENEFITS MEMBERS FUND LLC | OWNER | |
| PRASCUS, LAIMUTIS BRUNO | CHAIRMAN & PRESIDENT | 727830 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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