Richard D. 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.
Richard David Taylor, who also goes by Richard David Talyor, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 4 firms and has passed the SIE, Series 17 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2011 - December 31, 2011
KAPITALL GENERATION, LLC
August 2, 2011 - September 27, 2015
BENDIGO SECURITIES, LLC
July 18, 2008 - May 6, 2009
E*TRADE SECURITIES LLC
August 25, 2005 - May 6, 2009
E*TRADE CLEARING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 17
Date: 10/21/2005
Limited Registered Representative ExaminationCurrent Firm
KAPITALL GENERATION, LLC
CRD#: 153157 / SEC#: , 8-68508
Contact information
FINRA licenses (52 States and Territories)
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.
