April 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.
April M Taylor, who also goes by April M Nkansah, April Michelle Taylor, April M Winstead, April Michelle Winstead, April Michelle Winstead-taylor, was a registered financial professional .
April is a previously registered financial professional and started their career in finance in 2004. April had worked at 12 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2023 - September 5, 2023
HARRISDIRECT LLC
January 9, 2023 - June 3, 2024
E*TRADE SECURITIES LLC
April 12, 2022 - May 26, 2026
MORGAN STANLEY
April 12, 2022 - May 26, 2026
MORGAN STANLEY
March 20, 2020 - March 23, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 13, 2018 - March 19, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 9, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
August 1, 2016 - March 16, 2022
FIDELITY BROKERAGE SERVICES LLC
April 24, 2015 - July 22, 2016
SECURIAN FINANCIAL SERVICES, INC.
April 16, 2015 - July 22, 2016
SECURIAN FINANCIAL SERVICES, INC.
June 11, 2013 - March 30, 2015
J.P. MORGAN SECURITIES LLC
May 16, 2012 - April 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 2012 - April 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2012 - May 21, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
May 16, 2011 - May 21, 2012
ALLSTATE FINANCIAL SERVICES, LLC
August 24, 2010 - February 24, 2011
RAYMOND JAMES & ASSOCIATES, INC.
August 24, 2010 - February 24, 2011
RAYMOND JAMES & ASSOCIATES, INC.
February 21, 2005 - July 19, 2010
STRATEGIC ADVISERS LLC
October 6, 2004 - July 9, 2010
FIDELITY BROKERAGE SERVICES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
