Leon D. Taylor

VINTAGE WEALTH MANAGEMENT GROUP | Financial Advisor

CHARLOTTE, NC 28202

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CRD#: 7058819

Professional summary

Leon D Taylor is a registered financial advisor currently at VINTAGE WEALTH MANAGEMENT GROUP located in Charlotte, North Carolina.

Leon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Leon has worked at 4 firms and has passed the Series 63, Series 65, 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.

US Army-Soldier

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leon D Taylor'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

November 13, 2024 - Present

VINTAGE WEALTH MANAGEMENT GROUP

Office #1: 129 West Trade Street Suite 1640, Charlotte, NC 28202

RIA

CRD#: 151092

CHARLOTTE, NC

Past

September 12, 2019 - November 13, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ATLANTA, GA

Past

September 11, 2019 - November 13, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ATLANTA, GA

Past

August 1, 2019 - September 11, 2019

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

Atlanta, GA

Past

July 15, 2019 - September 11, 2019

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

ATLANTA, GA

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

North Carolina
(11/13/2024)

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

Series 63

Date: 7/20/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/14/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/1/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/31/2019

Securities Industry Essentials Examination

Current Firm

VINTAGE WEALTH MANAGEMENT GROUP

MARQUISE WEALTH MANAGEMENT, LLC | VINTAGE WEALTH MANAGEMENT GROUP, LLC | VINTAGE WEALTH MANAGEMENT GROUP, INC. | VINTAGE WEALTH MANAGEMENT GROUP | MARQUISE WEALTH MARQUISE, LLC

CRD#: 151092 / SEC#:

North Carolina

Registered Investment Advisory firm - (8/17/2009 Approved)

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Contact information

Main Address

129 West Trade Street Suite 1640, Charlotte, NC 28202

Mailing Address

Phone number

(704) 719-2225

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	258
AUM (Assets Under Management)	$ 38,196,482

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.

Contact information

xxxxx@xxxx.xxx

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Leon D. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leon D Taylor's CRS (Customer Relationship Summary).

Certified licenses

Experience

VINTAGE WEALTH MANAGEMENT GROUP

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/20/2019

Series 65

Date: 7/14/2019

Series 7TO

Date: 8/1/2019

SIE

Date: 5/31/2019

Current Firm

VINTAGE WEALTH MANAGEMENT GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VINTAGE WEALTH MANAGEMENT GROUP

TRUST BUT VERIFY

Contact information

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