TAYLOR SECURITIES, INC.
Adviser information for TAYLOR SECURITIES, INC. last updated from Form ADV on December 22nd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Tennessee, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 178 | $114.3M |
| Non-Discretionary | 166 | $147.2M |
| Total | 344 | $261.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 52 | $24.4M |
| HNW Individuals | 59 | $162.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 21 | $74.0M |
| Charitable organizations | <5 | $91,178 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Principal Office
100 WINNERS CIRCLESUITE 400
BRENTWOOD
TN
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 615-372-1356, Fax: 615-372-1357
Websites
Chief Compliance Officer
GEORGE W. MOODY
100 WINNERS CIRCLE N.
SUITE 400
BRENTWOOD
TN
United States
Tel:
615-372-1356
Fax:
615-372-1357
G*****@***********M
(Full email address available in API data)
Regulatory Contact
MARTHA MASON
PRESIDENT
100 WINNERS CIRCLE N.
SUITE 400
BRENTWOOD
TN
United States
Tel:
615-372-1342
Fax:
615-372-1343
M*****@***********M
(Full email address available in API data)
Industry Affiliates
| LIFE AND DISABILITY INSURANCE AGENCY | Insurance company or agency |
| PENSION CONSULTING COMPANY | Pension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MASON, MARTHA STUBBLEFIELD | Individual | – | PRESIDENT | 06/2016 | 10-25% |
| TAYLOR, WILLIAM GRAHAM III | Individual | – | GENERAL SECURITIES REPRESENTATIVE | 06/2016 | 50-75% |
| MOODY, GEORGE WOOD | Individual | – | MUNICIPAL SECURITIES PRINCIPAL, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, FIN-OP, SEC- TREASURER, CFO | 09/2012 | < 5% |
| LANKFORD, DAVID ALAN | Individual | – | VICE PRESIDENT, GENERAL SECURITIES PRINCIPAL | 04/2014 | < 5% |
| ZELENIK, WILLIAM LYONS | Individual | – | GENERAL SECURITIES REPRESENTATIVE | 08/2017 | 25-50% |