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Carolyn Taylor

Carolyn Taylor

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Information

Other Names: Carolyn Elisabeth Person, Kay Taylor
Firm:
Weatherly Asset Management
Limited Partner, Chief Compliance Officer
Type: RIA
Description

Carolyn P. Taylor, majority owner of the partnership, is personally and professionally committed to providing comprehensive high-quality investment management services to clients of Weatherly Asset Management. With over 30 years of portfolio management experience to high-net-worth individuals and institutional clients, ...(see more)

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Weatherly Asset Management 20 years, 2 months Aug 1994 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 05/14/1992
Uniform Securities Agent State Law ExaminationSeries 63 02/16/1989

Answers and Guides

Level 14 Level 14 Contributor 13 Answers and 0 Financial Guides

Top Answers

Answered Jan 05, 2012
16 votes
Your savings will be spread among a number of assets because a Target Date Fund (TDF) invests in a variety of underlying funds, however diversification is not quite that simple. The question is the overall asset allocation and how it will change over ...(more)
Answered Jul 12, 2012
14 votes
A mutual fund is an investment vehicle comprised of pooled funds from multiple investors, collected for the purpose of investing in stocks, bonds, and other securities. The funds are professionally managed by the fund manager according to a defined investment ...(more)
Answered Aug 01, 2012
12 votes
Roth 401(k) plans combine features of traditional 401(k) plans with those of Roth IRAs. Participants can choose to contribute to a Roth 401(k) with after-tax dollars (in the same way one would contribute to a Roth IRA) or with pre-tax dollars (often ...(more)
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Top Guides

Carolyn Taylor has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Advisor Information

Advisor Assets Under Management

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$458.1M
Total Assets
272
Clients
$1.7M
Estimated Average Account Balance Per Client
*An individual AUM and number of accounts has been entered by the advisor and has not been verified.

Firm Client Types

High Net Worth Individuals
Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
09/06/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.

Advisor Compensation Arrangements

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Types of Compensation Arrangements