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Samuel A. Taylor

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CRD#: 5394430
ST

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.

Samuel Austin Taylor was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2010. Samuel had worked at 8 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 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.
1)Name of the business - SEM Properties LLC 2)Is the business investment-related -No 3)Address of the other business - 1340 Las Juntas Way, Unit I, Walnut Creek, CA 94597 4)Nature of the other business - Short term real estate rentals for Airbnb, Homeaway, VRBO, Anyplace 5)Position, title, or relationship with the other business - Sales Manager 6)Start date of your relationship - 1/14/2020 7)Approximate number of hours/month you devote to the other business - 0-10 8)Number of hours you devote to the other business during securities trading hours - 0 9)Duties relating to other Business - place properties owned on VRBO, Airbnb, Homeaway, Anyplace 1)Name of the business - Citizech LLC 2)Is the business investment-related - No 3)Address of the other business - 1340 Las Juntas Way, Unit I, Walnut Creek, CA 94597 4)Nature of the other business - Software Development centered around mobile applications and startups 5)Position, title, or relationship with the other business - Managing Director 6)Start date of your relationship - 7/4/2016 7)Approximate number of hours/month you devote to the other business - 0-20 8)Number of hours you devote to the other business during securities trading hours - 0 9)Duties relating to other Business - Duties for Samuel Taylor - Find talent, coordinate business operations that can build mobile applications and websites, invest into talent

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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

September 10, 2020 - March 21, 2022

HARRISDIRECT LLC

RIA
CRD#: 42159
Menlo Park, CA
Past

September 10, 2020 - March 21, 2022

E*TRADE SECURITIES LLC

BD
CRD#: 29106
Menlo Park, CA
Past

March 8, 2017 - December 4, 2019

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

September 22, 2016 - February 28, 2017

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
San Francisco, CA
Past

September 22, 2016 - February 28, 2017

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

October 20, 2011 - September 7, 2016

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

October 20, 2011 - September 7, 2016

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

July 6, 2010 - September 7, 2011

MORGAN STANLEY

RIA
CRD#: 149777
HOUSTON, TX
Past

June 7, 2010 - September 7, 2011

MORGAN STANLEY

BD
CRD#: 149777
HOUSTON, TX

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: 10/19/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/3/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/31/2010
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/2010
General Securities Representative Examination

Current Firm

HL
HARRISDIRECT LLC
CSFBDIRECT | THE HARRIS BROKERAGE | THE HARRIS | PC FINANCIAL NETWORK, INC. | HARRISDIRECT LLC | HARRISDIRECT ADVISORY SERVICES | HARRISDIRECT | HARRIS INVESTOR SERVICES LLC | HARRIS ADVANTEDGE INVESTING | E*TRADE CAPITAL MANAGEMENT, LLC | DLJDIRECT INC. | CSFBDIRECT, LLC | CSFBDIRECT, INC. | CSFBDIRECT LLC

CRD#: 42159 / SEC#: 801-58085, 8-49730

BD
Terminated by SEC on 01/01/2007
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Contact information

Main Address
671 N. Glebe Road 13th Floor, Arlington, VA 22203
Mailing Address
Phone number
(703) 247-3700
Established
Delaware since 08/02/1996
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
0

Documents

Latest Form ADV

Part 2 Brochures

E*TRADE WRAP FEE PROGRAMS BROCHURE (FORM ADV PART 2A - APPENDIX 1) (5/19/2023)

Direct owners and executive officers

NamePositionCRD#
E*TRADE BROKERAGE HOLDINGS, INC.SHAREHOLDER
ALBINO, MICHAEL JOSEPHCHIEF COMPLIANCE OFFICER/CROP/SROP - BD864412
BOCK, CYNTHIA CRAMERCORPORATE SECRETARY
CURCIO, MICHAEL JOHNMANAGER1620743
FOSTER, JONATHAN RICEPRESIDENT1037245
HAVENS, GILBERT SCHUYLERVICE PRESIDENT - IA2508109
KAMEDA, ROBIN GEN WAI KIRNCHIEF COMPLIANCE OFFICER - IA1821479
LILIEN, ROBERT JARRETTCEO, MANAGER1337819
REYES, CHRISTOPHER VALENTINCHIEF FINANCIAL OFFICER2105804
ROBERTS, THOMAS HENRY IIIVICE PRESIDENT - BD2104665
WILSON, MICHAEL JAMESCHIEF COMPLIANCE OFFICER - INTERNATIONAL2446305

Regulatory assets under management

Total Number of Accounts90,806
AUM (Assets Under Management)$ 7,406,529,807

Disclosures

Arbitration3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/23/2023
Cover Page
Report
09/27/2022
Cover Page
Report
12/21/2021
Cover Page
Report

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

HARRISDIRECT LLC

CRD#: 42159

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