John H. Taylor
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.
John Henry Taylor, who also goes by John Taylor, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 7, Series 15, Series 5 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2013 - August 6, 2015
WHITE OAK MERCHANT PARTNERS LLC
May 14, 2010 - September 7, 2012
BTIG, LLC
February 1, 1979 - July 10, 2003
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 5/13/1985
Foreign Currency Options ExaminationSeries 5
Date: 12/1/1982
Interest Rate Options ExaminationSeries 8
Date: 3/2/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WHITE OAK MERCHANT PARTNERS LLC
CRD#: 140142 / SEC#: , 8-67283
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
