James C. Taylor

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CRD#: 836504

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.

James Charles Taylor was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1977. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

SCOTT'S CROSSING HOWEOWNERS ASSOCIATION (HOA), COMMUNITY ORGANIZATION - VOLUNTEER; LOCATED AT NAPERVILLE, IL. DUTIES INCLUDE PRESIDENT, SUPERVISE HOMEOWNER'S ISSUES - NO COMPENSATION. THIS IS NOT INVESTMENT RELATED. WILL DEVOTE TWO HOURS PER MONTH TOWARD THIS ACTIVITY - NONE DURING TRADING HOURS.

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

November 13, 2018 - November 26, 2025

CONFLUENCE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 146019

Naperville, IL

Past

March 15, 2017 - May 11, 2017

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

NAPERVILLE, IL

Past

March 14, 2017 - May 11, 2017

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

April 13, 2011 - October 19, 2016

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

MENOMONEE FALLS, WI

Past

April 12, 2011 - October 19, 2016

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

March 29, 2006 - April 13, 2011

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

February 17, 1999 - January 3, 2006

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

November 3, 1986 - November 13, 1998

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

October 20, 1980 - November 20, 1986

EQUITABLE ADVISORS, LLC

CRD#: 6627

Past

April 20, 1977 - November 13, 1986

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

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".

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

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: 9/13/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/27/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/13/1977

Registered Representative Examination

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

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Contact information

Main Address

20 Allen Avenue, Ste 300, Saint Louis, MO 63119

Mailing Address

Phone number

(314) 743-5090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONFLUENCE DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	16,134
AUM (Assets Under Management)	$ 7,251,904,123

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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Advisor Monitoring

Firm Stability Insights

James C. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

NORTHERN TRUST SECURITIES, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

CONFLUENCE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2000

Series 63

Date: 11/27/1991

SIE

Date: 5/11/2017

Series 7

Date: 11/15/1986

Series 1

Date: 4/13/1977

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFLUENCE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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