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David James Taylor

Firm:
Sterling Monroe Securities, LLC
Type: Registered Representative
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Description

David Taylor a financial professional at Sterling Monroe Securities, LLC. David has held an industry securities registration for 8 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

David James Taylor has not answered any questions on Financial Q&A.

Top Guides

David James Taylor has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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No client types listed.

Experience and Employment History

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Employer Years Dates
Consolidated Portfolio Review Corp 9 years, 9 months Aug 2003 - Present
Sterling Monroe Securities, LLC 10 years, 1 month Apr 2003 - Present
Hofstra University 3 years, 8 months Sep 2002 - May 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/07/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Not registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
05/07/2012
08/10/2012
*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.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 01/18/2007
Municipal Securities Principal Examination Series 53 11/11/2004
Uniform Securities Agent State Law Examination Series 63 01/26/2004
General Securities Principal Examination Series 24 12/12/2003
General Securities Representative Examination Series 7 08/22/2003

Firm Compensation Arrangements

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No compensation arrangements listed.