Bruce A. 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.
Bruce Alan Taylor was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1979. Bruce had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
March 14, 2012 - September 23, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
February 9, 2012 - September 23, 2015
MSI FINANCIAL SERVICES, INC.
October 19, 2006 - June 23, 2010
PNC WEALTH MANAGEMENT LLC
December 9, 2005 - February 14, 2006
NEW ENGLAND SECURITIES
December 10, 1996 - December 31, 2001
FIRST MONTAUK SECURITIES CORP.
April 1, 1996 - December 11, 1996
WOODBURY FINANCIAL SERVICES, INC.
March 21, 1985 - December 31, 1987
PW SECURITIES, INC.
July 21, 1983 - December 26, 1984
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
November 1, 1979 - July 11, 1983
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 1, 1979 - July 11, 1983
SIGNATOR INVESTORS, INC.
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 1
Date: 10/22/1979
Registered Representative ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
