Benjamin J. Walker

TAYLOR DERRICK CAPITAL, L.L.C.

Salt Lake City, UT 84103

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CRD#: 6065384

Professional summary

Benjamin Joseph Walker is a registered financial advisor currently at TAYLOR DERRICK CAPITAL, L.L.C. located in Salt Lake City, Utah.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Benjamin has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Joseph Walker'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

October 15, 2024 - Present

TAYLOR DERRICK CAPITAL, L.L.C.

Office #1: 404 North 300 West, Salt Lake City, UT 84103

RIA

CRD#: 158016

Salt Lake City, UT

Past

March 25, 2013 - August 27, 2014

KNOX CAPITAL ADVISORS, LLC

RIA

CRD#: 131000

DRAPER, UT

Past

November 29, 2012 - August 27, 2014

KCG SECURITIES, LLC

CRD#: 151300

DRAPER, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TAYLOR DERRICK CAPITAL, L.L.C.

TAYLOR CAPITAL GROUP | TAYLOR DERRICK CAPITAL, L.L.C. | TAYLOR CAPITAL GROUP, LLC

CRD#: 158016 / SEC#: 801-108584

RIA

Registered Investment Advisory firm - (11/29/2016 Approved)

Nevada

Registered Investment Advisory firm - (8/31/2017 Terminated)

Utah

Registered Investment Advisory firm - (8/1/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nevada
(10/15/2024)

IAR

Utah
(10/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/12/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/28/2012

General Securities Representative Examination

Current Firm

TAYLOR DERRICK CAPITAL, L.L.C.

TAYLOR CAPITAL GROUP | TAYLOR DERRICK CAPITAL, L.L.C. | TAYLOR CAPITAL GROUP, LLC

CRD#: 158016 / SEC#: 801-108584

RIA

Registered Investment Advisory firm - (11/29/2016 Approved)

Nevada

Registered Investment Advisory firm - (8/31/2017 Terminated)

Utah

Registered Investment Advisory firm - (8/1/2017 Terminated)

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Contact information

Main Address

404 North 300 West, Salt Lake City, UT 84103

Mailing Address

Phone number

(801) 996-7470

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

TDC FIRM BROCHURE (MARCH 2025) (3/30/2025)

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 847,487,473

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.

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Benjamin J. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Joseph Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

TAYLOR DERRICK CAPITAL, L.L.C.

KNOX CAPITAL ADVISORS, LLC

KCG SECURITIES, LLC

Primary Firm SEC Registration

TAYLOR DERRICK CAPITAL, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2012

Series 7

Date: 11/28/2012

Current Firm

TAYLOR DERRICK CAPITAL, L.L.C.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TAYLOR DERRICK CAPITAL, L.L.C.

TRUST BUT VERIFY

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