Taylor Richard Dalby
Professional Summary
Taylor Richard Dalby is a registered financial advisor currently at CONCHO TRANSACTIONS located in Spring, Texas. Taylor is registered as a RR (Registered Representative) and started their career in finance in 2016. Taylor has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 50, Series 79, Series 7, Series 52 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
CONCHO TRANSACTIONS | CONCHO TRANSACTIONS LLC
Contact Information
Main Address
30 Umbria Ln, Spring, TX 77382Mailing Address
30 Umbria Ln, Spring, TX 77382Phone Number
(786) 778-8748Established
Texas since 02/08/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed May 2022About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed May 2017About the Series 50 examSeries 79 — Investment Banking Registered Representative Examination
Passed Apr 2017About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Taylor Richard Dalby's CRS (Customer Relationship Summary).
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