Taylor & Company
TAYLOR & COMPANY
Time is of the essence, use it to your advantage, engage Taylor & Company today!
Clients retain Taylor & Company's services monthly to provide ongoing day to day consulting.
As a consultant we provide our expertise to broker-dealers and investment advisors.
Our clients feel comfortable knowing we are engaged with them on an ongoing basis.
In addition, Mr. Taylor has registered with firms to act as their CCO, COO or as a
Registered Principal when the situation requires it and it is a best practice for the firm.
Firms have retained Taylor & Company to take them through a New Membership Application.
Broker-dealers have also contracted with us to file Continued Membership Application process as well.
Our broker-dealer clients include:
Retail / Institutional
Wholesale Broker Dealers
We also have project clients. We provide all services on a specific contractual basis.
For Broker-Dealers this includes but is not limited to:
AML testing and reviews
Written supervisory procedure manuals
Branch office audits
Firm element continuing education analysis and plans
Annual compliance meetings and questionnaires
Attend regulatory exams
Most all functions required of a CCO
Our RIA clients include:
State registered RIA’s
SEC registered RIA’s
For RIA's we provide but are not limited to:
Annual firm review
ADV Part 1 & 2 review and filing
Compliance & supervisory manuals
Most all functions required of an RIA