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Thomas Byron Taylor

Firm:
Cetera Advisor Networks LLC
CHIEF OPERATING OFFICER & VICE PRESIDENT
Type: Dual Registration
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Description

Thomas Taylor an executive and has an ownership stake of Cetera Advisor Networks LLC, a broker-dealer with over 2,100 registered representatives nationwide. Thomas has held an industry securities registration for 21 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Thomas Byron Taylor has not answered any questions on Financial Q&A.

Top Guides

Thomas Byron 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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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Business Development Companies

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

Experience and Employment History

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Employer Years Dates
Cetera Advisor Networks LLC 6 years, 11 months Jun 2006 - Present
Financial Network Investment Corporation 15 years, 8 months Sep 1997 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/21/2012, 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
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
09/21/2012
10/11/2012
*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 Investment Adviser Law Examination Series 65 12/21/1999
General Securities Principal Examination Series 24 10/16/1996
General Securities Representative Examination Series 7 12/18/1995
Uniform Securities Agent State Law Examination Series 63 11/19/1991
Investment Company Products/Variable Contracts Representative Examination Series 6 11/15/1991

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions