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Thomas Taylor

National Financial Services LLC

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About Thomas Taylor

Thomas Taylor is a financial professional with over 9 years of experience in the financial services industry. Thomas is currently registered with National Financial Services LLC and holds a variety of licenses and certifications including Series 7, 9, 10, 63, 66 and SIE. Previously, Thomas was with Fidelity Brokerage Services LLC. Thomas specializes in a variety of financial products and services.

Firm Information

Thomas Taylor is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Thomas Taylor’s Registration & Firm History

NM

01/04/2024 - Present

National Financial Services LLC (ALBUQUERQUE NM)

NM

10/03/2014 - 11/29/2023

FIDELITY BROKERAGE SERVICES LLC (ALBUQUERQUE NM)

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Licenses & Designations

BOTH

Issued 10/20/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/01/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/25/2018

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 07/10/2018

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/04/2024

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/03/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Thomas Taylor.
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