Taylor J. Floren

WINTER & ASSOCIATES

Saint Paul, MN 55105

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CRD#: 7011420

Professional summary

Taylor John Floren is a registered financial advisor currently at WINTER & ASSOCIATES, INC. located in Saint Paul, Minnesota.

Taylor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Taylor has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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 Taylor John Floren's CRS (Customer Relationship Summary).

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

January 4, 2021 - Present

WINTER & ASSOCIATES, INC.

Office #1: 964 Grand Avenue, Saint Paul, MN 55105

RIA

CRD#: 310349

Saint Paul, MN

Past

July 31, 2020 - January 7, 2021

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST PAUL, MN

Past

July 31, 2020 - January 7, 2021

CRI SECURITIES, LLC

RIA

CRD#: 22589

ST PAUL, MN

Past

July 31, 2020 - January 7, 2021

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST PAUL, MN

Past

July 31, 2020 - January 7, 2021

CRI SECURITIES, LLC

CRD#: 22589

ST PAUL, MN

Past

February 5, 2019 - July 22, 2020

VAN CLEMENS & CO. INCORPORATED

CRD#: 6914

MINNEAPOLIS, MN

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".

WINTER & ASSOCIATES, INC.

CRD#: 310349 / SEC#: 801-123146

RIA

Registered Investment Advisory firm - (2/2/2022 Approved)

Minnesota

Registered Investment Advisory firm - (3/1/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/11/2022 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

Minnesota
(1/4/2021)

IAR

Texas
(5/13/2025)

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: 5/28/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/5/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/6/2018

Securities Industry Essentials Examination

Current Firm

WINTER & ASSOCIATES, INC.

CRD#: 310349 / SEC#: 801-123146

RIA

Registered Investment Advisory firm - (2/2/2022 Approved)

Minnesota

Registered Investment Advisory firm - (3/1/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/11/2022 Terminated)

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Contact information

Main Address

964 Grand Avenue, St. Paul, MN 55105

Mailing Address

Phone number

(651) 414-5000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

08 12 2025 WAA FORM ADV PART 2A AND 2B FINAL (8/12/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 147,479,629

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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Firm Stability Insights

Taylor J. Floren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Taylor John Floren's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

VAN CLEMENS & CO. INCORPORATED

Primary Firm SEC Registration

WINTER & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/28/2019

Series 7TO

Date: 2/5/2019

SIE

Date: 12/6/2018

Current Firm

WINTER & ASSOCIATES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINTER & ASSOCIATES, INC.

TRUST BUT VERIFY

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