Individual Firm
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CHARLES ROBERT TAYLOR
CRD#: 2659942
IA
B
WORLD EQUITY GROUP, INC.CRD#: 29087 4325 Pheasant Ridge Drive NE
Suite 610
MINNEAPOLIS, MN 55449
Suite 610
MINNEAPOLIS, MN 55449
View By:
1/3/2023
Customer Dispute
Pending
2/27/1989
Criminal
Final Disposition
3/10/1986
Criminal
Final Disposition
State Registrations
B
Arizona 5/28/2020
B
North Dakota 1/15/2025
IA
Arizona 5/28/2020
IA
North Dakota 1/17/2025
B
Florida 4/7/2014
B
Texas 9/15/2017
IA
Florida 4/7/2014
IA
Texas 9/15/2017
B
Minnesota 3/5/2013
B
Wisconsin 3/5/2013
IA
Minnesota 1/21/2014
IA
Wisconsin 3/5/2013
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/5/2013
B
Registered with this firm since 3/5/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/15/2009 - 03/01/2013 | BLOOMINGTON, MN | |
B | 07/14/2009 - 03/01/2013 | BLOOMINGTON, MN | |
B | 01/24/2008 - 05/13/2009 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.