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Roger Leslie Taylor

Spc

Ann Arbor, MI

Colorado Springs, CO

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Current Employers
Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2003-08-19
  • CO RA
    APPROVED
    Since 2003-08-19

Branch Locations

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

1425 N. Union Blvd, Colorado Springs, CO 80909 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Spc Ann Arbor MI 08/2003 Present
Parkland Securities Ann Arbor MI 08/2014 Present
  • 08/2003 → Present
    Spc
    Ann Arbor, MI
  • 08/2014 → Present
    Parkland Securities
    Ann Arbor, MI
Other Businesses

AGORA WEALTH MANAGEMENT; I HOLD VARIOUS TRADITIONAL APPOINTMENTS WITH VARIOUS TRADITIONAL COMPANIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-03
S63 Uniform Securities Agent State Law Examination 1988-10-31
  • S65 Uniform Investment Adviser Law Examination
    2002-01-03
  • S63 Uniform Securities Agent State Law Examination
    1988-10-31

View on SEC IAPD

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Other Offices

SPC · Ann Arbor, MI
LPL FINANCIAL LLC · ANN ARBOR, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ANN ARBOR, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ANN ARBOR, MI
FIRST HEARTLAND CONSULTANTS, INC. · ANN ARBOR, MI
LPL FINANCIAL LLC · ANN ARBOR, MI
OSAIC ADVISORY SERVICES, LLC · Ann Arbor, MI
LPL FINANCIAL LLC · ANN ARBOR, MI

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