Kristen S. Taylor
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.
Kristen Sherrill Taylor, who also goes by Kristen Paige Sherrill, Kristen S Taylor, Kristen Sherrill Taylor, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 2016. Kristen had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2021 - October 15, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 22, 2021 - October 15, 2024
FIDELITY BROKERAGE SERVICES LLC
July 17, 2019 - September 16, 2021
PRUCO SECURITIES, LLC.
July 17, 2019 - September 16, 2021
PRUCO SECURITIES, LLC.
April 17, 2018 - July 9, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
April 17, 2018 - July 9, 2019
ALLSTATE FINANCIAL SERVICES, LLC
October 21, 2016 - April 12, 2018
EDWARD JONES
May 19, 2016 - April 12, 2018
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
