Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Rock Taylor is a financial advisor with over 30 years of experience in the financial services industry. Richard is currently registered with J.p. Morgan Securities LLC in Short Hills, New Jersey. Richard is also registered as an Investment Advisor Representative (IAR) in Connecticut, New Jersey and Texas. Richard has previously worked with Chase Investment Services Corp., Sorrento Pacific Financial, LLC, ICBA Financial Services Corporation, Wachovia Securities, Inc., First Union Brokerage Services, Inc., J. B. Hanauer & Co., and First American National Securities, Inc. Richard holds Series 6, 7, 63 and 66 licenses. Richard specializes in providing financial planning, pension consulting, and portfolio management services to individuals, businesses and high net worth individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NJ
09/19/2013 - Present
J.p. Morgan Securities LLC (SHORT HILLS NJ)
NY
01/25/2007 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW CITY NY)
NJ
11/14/2005 - 01/19/2007
SORRENTO PACIFIC FINANCIAL, LLC (TOWNSHIP OF WASHINGTON NJ)
TN
01/14/2003 - 11/14/2005
ICBA FINANCIAL SERVICES CORPORATION (MEMPHIS TN)
MO
10/01/2000 - 11/06/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NC
11/17/1997 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NJ
01/01/1996 - 05/15/1997
J. B. HANAUER & CO. (PARSIPPANY NJ)
GA
08/04/1986 - 05/29/1990
FIRST AMERICAN NATIONAL SECURITIES, INC. (DULUTH GA)
BOTH
Issued 06/17/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/21/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/01/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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