RT
Rory Taggart
TRUIST SECURITIES
SAN FRANCISCO, CA 94104
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CRD#: 5416514
RT
Rory TaggartTRUIST SECURITIES
Professional summary
Rory Taggart, who also goes by Rory Randolph Taggart, is a registered financial professional currently at TRUIST SECURITIES, INC. located in San Francisco, California.
Rory is registered as a RR (Registered Representative) and started their career in finance in 2008. Rory has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Aliases
Rory Randolph Taggart
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) - BD
Click below to view Rory Taggart'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
August 3, 2026 - Present
TRUIST SECURITIES, INC.
Office #1: One Montgomery Tower Suite 2800, San Francisco, CA 94104BD
CRD#: 6271
SAN FRANCISCO, CA
Past
November 11, 2014 - March 3, 2026
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
SAN FRANCISCO, CA
Past
August 8, 2012 - November 3, 2014
PIPER SANDLER & CO.
BD
CRD#: 665
SAN FRANCISCO, CA
Past
July 23, 2008 - March 2, 2009
RUTBERG & COMPANY, LLC
BD
CRD#: 113392
SAN FRANCISCO, CA
Past
January 1, 2008 - July 8, 2008
MOSAIC CAPITAL SECURITIES, LLC
BD
CRD#: 106637
SHERMAN OAKS, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
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Alabama(8/3/2026)
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Alaska(8/3/2026)
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Arizona(8/3/2026)
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Arkansas(8/3/2026)
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California(8/3/2026)
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Colorado(8/3/2026)
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Connecticut(8/3/2026)
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Delaware(8/3/2026)
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District of Columbia(8/3/2026)
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Florida(8/3/2026)
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Georgia(8/3/2026)
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Hawaii(8/3/2026)
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Idaho(8/3/2026)
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Illinois(8/3/2026)
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Indiana(8/3/2026)
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Iowa(8/3/2026)
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Kansas(8/3/2026)
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Kentucky(8/3/2026)
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Louisiana(8/3/2026)
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Maine(8/3/2026)
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Maryland(8/3/2026)
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Massachusetts(8/3/2026)
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Michigan(8/3/2026)
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Minnesota(8/3/2026)
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Mississippi(8/3/2026)
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Missouri(8/3/2026)
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Montana(8/3/2026)
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Nebraska(8/3/2026)
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Nevada(8/3/2026)
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New Hampshire(8/3/2026)
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New Jersey(8/3/2026)
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New Mexico(8/3/2026)
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New York(8/3/2026)
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North Carolina(8/3/2026)
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North Dakota(8/3/2026)
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Ohio(8/4/2026)
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Oklahoma(8/3/2026)
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Oregon(8/3/2026)
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Pennsylvania(8/3/2026)
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Puerto Rico(8/3/2026)
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Rhode Island(8/3/2026)
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South Carolina(8/3/2026)
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South Dakota(8/3/2026)
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Tennessee(8/3/2026)
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Texas(8/3/2026)
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Utah(8/3/2026)
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Vermont(8/3/2026)
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Virginia(8/3/2026)
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Washington(8/3/2026)
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West Virginia(8/3/2026)
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Wisconsin(8/3/2026)
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Wyoming(8/3/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
