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TT

Thomas Taylor

UNICREDIT CAPITAL MARKETS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 5986483
TT

Professional summary

Thomas Taylor MR., who also goes by Thomas S. Taylor Mr., Tom Stephen Taylor Mr., is a registered financial professional currently at UNICREDIT CAPITAL MARKETS LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas S. Taylor Mr. | Tom Stephen Taylor Mr.

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Taylor MR.'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®
None

Experience

Current

March 20, 2012 - Present

UNICREDIT CAPITAL MARKETS LLC

Office #1: 150 East 42nd St, New York, NY 10017
BD
CRD#: 7789
New York, NY

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
RR
Series 63
Date: 5/13/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/19/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UC
UNICREDIT CAPITAL MARKETS LLC
ASSOCIATED EUROPEAN CAPITAL CORPORATION | UNICREDIT CAPITAL MARKETS, INC | UNICREDIT CAPITAL MARKETS LLC | HYPOVEREINSBANK CAPITAL MARKETS | HVB CAPITAL MARKETS, INC. | CAIB SECURITIES NEW YORK | BV CAPITAL MARKETS, INC.

CRD#: 7789 / SEC#: , 8-23081

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
15o East 42nd Street, New York, NY 10017-4679
Mailing Address
150 East 42nd Street, New York, NY 10017-4679
Phone number
(212) 672-5945
Established
New York since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
UNICREDIT U.S. FINANCE LLCDIRECT OWNER
GLYNN, MICHAEL GERARDFINOP3219445
KOETHE, MARIO ARMIN MR.BOARD MEMBER7237856
MUELLER, PHILIPP JOCHENCHIEF COMPLIANCE OFFICER7549745
SAXENA, SUPRIYABOARD MEMBER7596034
STEFFENS, CHRISTIANBOARD MEMBER7898114
VALENTE, DOMINICK FRANKPRESIDENT5912165

Disclosures

Regulatory Event3

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

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789New York, NY 10017

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