DT
Daniel J. Taylor
THOROUGHBRED FINANCIAL SERVICES
Brentwood, TN 37027-7508
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CRD#: 4535928
DT
Professional summary
Daniel James Taylor is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Taylor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel James Taylor'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®
NoneExperience
Current
April 6, 2022 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508RIA
BD
CRD#: 47893
Brentwood, TN
Current
April 6, 2022 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way Suite 300, Brentwood, TN 37027RIA
BD
CRD#: 47893
Brentwood, TN
Past
June 9, 2016 - August 7, 2020
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
FRANKLIN, TN
Past
June 9, 2016 - August 7, 2020
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
September 11, 2003 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
BOSTON, MA
Past
September 11, 2003 - May 5, 2016
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
BOSTON, MA
Past
April 21, 2003 - May 5, 2016
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
July 12, 2002 - April 9, 2003
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
BD
CRD#: 17580
BOSTON, MA
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".
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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(4/2/2024)
RR
Colorado(4/2/2024)
RR
Florida(9/20/2022)
RR
Georgia(9/20/2022)
RR
Illinois(9/20/2022)
RR
Indiana(9/20/2022)
RR
Kansas(8/23/2022)
RR
Kentucky(9/20/2022)
RR
Massachusetts(7/25/2022)
RR
New Jersey(9/20/2022)
RR
North Carolina(9/20/2022)
RR
South Carolina(4/2/2024)
RR
Tennessee(4/6/2022)
IAR
Tennessee(4/6/2022)
RR
Texas(9/20/2022)
RR
Utah(7/8/2025)
RR
Virginia(9/20/2022)
RR
Wisconsin(7/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 3/13/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
5110 Maryland Way Suite 300, Brentwood, TN 37027-7508
Mailing Address
5110 Maryland Way Suite 300, Brentwood, TN 37027
Phone number
(615) 371-0001
Established
Tennessee since 06/24/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (22 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARKER FAMILY TRUST | MEMBER | |
| ATKINS, JOHN SEXTON | MEMBER | 709695 |
| HARTLEY, LAWRENCE RANDALL | MEMBER | 1235172 |
| PARKER, PATRICK GIBBONS | MEMBER | 709713 |
| WEDDINGTON, WILLIAM ALLEN | MEMBER | 709720 |
| HERNDON, JACK CLARK JR | EXECUTIVE V.P. SECURITIES | 1286530 |
| KELLY, DANIEL JAMES | V.P. OPERATIONS - CCO, CFO | 2378762 |
| PARKER, SUSAN SWEENEY | TRUSTEE OF PARKER FAMILY TRUST | 3265529 |
| PARKER, THOMAS JENKINS | PRESIDENT, CEO | 356789 |
Regulatory assets under management
| Total Number of Accounts | 6,789 |
| AUM (Assets Under Management) | $ 3,409,535,678 |
Disclosures
| Regulatory Event | 1 |
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.
