Kathleen M. Taylor

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CRD#: 732979

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.

Kathleen Marie Trcka Taylor, who also goes by Kathleen Marie Taylor, Kathleen Marie Trcka, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 1981. Kathleen had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathleen Marie Taylor | Kathleen Marie Trcka

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.

(1) Name of Business: St. Luke Catholic Church Address: 11011 Hall Road, Houston, TX, 77089, United States Activity Type: Non profit Position/Title: Other Investment Related: Yes Start Date: 10/01/1995 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: On FINANCE COMMITTEE. Am also a Sunday collection counter for the parish. No longer the Chairman of this Committee. Very strict rules are followed as to reconciling collection with actual deposit.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2008 - December 31, 2022

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

HOUSTON, TX

Past

November 9, 2005 - December 31, 2022

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

HOUSTON, TX

Past

May 9, 2000 - November 17, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

February 1, 2000 - May 8, 2000

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

July 5, 1996 - February 1, 2000

HARRIS WEBB & GARRISON, INC.

CRD#: 28188

HOUSTON, TX

Past

August 26, 1991 - July 30, 1996

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

September 4, 1990 - August 27, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 1, 1988 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

CRD#: 22540

Past

September 1, 1987 - September 1, 1988

BOETTCHER & COMPANY, INC.

CRD#: 101

Past

September 28, 1981 - September 1, 1987

LOVETT MITCHELL WEBB & GARRISON, INC.

CRD#: 10011

Past

June 23, 1981 - November 1, 1983

ROTAN MOSLE INC.

CRD#: 727

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".

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 3/24/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

880 Carillon Parkway, St. Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St. Petersburg, FL 33716

Phone number

(727) 567-1000

Established

Florida since 02/19/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

13,966

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES WRAP FEE PROGRAM BROCHURE (12/1/2025)

RAYMOND JAMES FORM ADV PART 2A BROCHURE (12/1/2025)

INSTITUTIONAL FIDUCIARY SOLUTIONS PROGRAM BROCHURE (6/30/2025)

PUBLIC FINANCE INVESTMENT STRATEGIES BROCHURE (12/20/2024)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES FINANCIAL, INC.	HOLDING COMPANY
BARKO, SHAWN JOSEPH	CHIEF COMPLIANCE OFFICER	2690394
BUNN, JAMES EDWARD	DIRECTOR	3130320
CURTIS, SCOTT	DIRECTOR	1707935
DELEON, ALLYSSA NICOLE	PRINCIPAL FINANCIAL OFFICER / FINOP	6902665
ELWYN, TASHTEGO SPRING	PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR	2319098
MARTIN, PHILIP ROGER	RIA CHIEF COMPLIANCE OFFICER	2613565
RUST, KEITH G	DIRECTOR, PRINCIPAL OPERATIONS OFFICER	5915636
SANTELLI, JONATHAN	GENERAL COUNSEL / SECRETARY	6306997
SICKLING, JAMES PHILIP	DIRECTOR	1240810

Regulatory assets under management

Total Number of Accounts	1,070,028
AUM (Assets Under Management)	$ 433,814,330,581

Disclosures

Regulatory Event	181
Arbitration	72

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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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Firm Stability Insights

Kathleen M. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

SANDERS MORRIS LLC

HARRIS WEBB & GARRISON, INC.

FINANCIAL SQUARE PARTNERS

WELLS FARGO CLEARING SERVICES, LLC

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

BOETTCHER & COMPANY, INC.

LOVETT MITCHELL WEBB & GARRISON, INC.

ROTAN MOSLE INC.

Primary Firm SEC Registration

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/24/2008

Series 63

Date: 11/6/1981

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1981

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES & ASSOCIATES, INC.

TRUST BUT VERIFY

Contact information

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