Taylor C. Dorman
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.
Taylor C Dorman, who also goes by Taylor Case Dorman, Taylor Dorman, was a registered financial professional .
Taylor is a previously registered financial professional and started their career in finance in 2012. Taylor had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2015 - March 24, 2017
COGNIOS CAPITAL, LLC
May 1, 2015 - March 27, 2017
ALPS DISTRIBUTORS, INC.
August 20, 2013 - April 17, 2015
MONTAGE INVESTMENTS, LLC
April 19, 2013 - April 17, 2015
MSEC, LLC
July 30, 2012 - April 18, 2013
AMERICAN CENTURY INVESTMENT SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
COGNIOS CAPITAL, LLC
CRD#: 148361 / SEC#: 801-77198
Contact information
Documents
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.
