Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MICHAEL ANDRE TAYLOR
MICHAEL ANDRE` TAYLOR
CRD#: 4189649
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3 BETTER WORLD CIR
TEMECULA, CA 92590
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (2 years)2 FIRMS2009 - 2010 (1 year)2 FIRMS2013 - 2016 (2 years)2 FIRMS2016 - Present (9 years)BLIFEMARK SECURITIES CORP. (CRD# 16204)2008 - 2008 (<1 year)BWORLD TRADE FINANCIAL CORPORATION (CRD# 42638)2004 - 2004 (<1 year)BINTREPID SECURITIES, INC. (CRD# 19311)2000 - 2004 (3 years)
License(s)

State Registrations

B
Alabama 5/29/2018
B
Nebraska 5/29/2018
B
Alaska 5/29/2018
B
Nevada 7/8/2016
B
Arizona 7/8/2016
B
New Hampshire 5/29/2018
B
Arkansas 5/29/2018
B
New Jersey 5/29/2018
B
California 3/10/2016
B
New Mexico 5/29/2018
IA
California 3/10/2016
B
New York 5/29/2018
B
Colorado 5/29/2018
B
North Carolina 5/29/2018
B
Connecticut 5/29/2018
B
North Dakota 5/29/2018
B
Delaware 5/29/2018
B
Ohio 5/29/2018
B
District of Columbia 5/29/2018
B
Oklahoma 5/29/2018
B
Florida 7/8/2016
B
Oregon 7/8/2016
B
Georgia 5/29/2018
B
Pennsylvania 5/29/2018
B
Hawaii 7/8/2016
B
Puerto Rico 5/29/2018
B
Idaho 5/29/2018
B
Rhode Island 5/29/2018
B
Illinois 5/29/2018
B
South Carolina 5/29/2018
B
Indiana 5/29/2018
B
South Dakota 5/29/2018
B
Iowa 5/29/2018
B
Tennessee 5/29/2018
B
Kansas 5/29/2018
B
Texas 7/8/2016
B
Kentucky 5/29/2018
IA
Texas 7/28/2016
B
Louisiana 5/29/2018
B
Utah 5/29/2018
B
Maine 5/29/2018
B
Vermont 5/29/2018
B
Maryland 5/29/2018
B
Virgin Islands 5/29/2018
B
Massachusetts 5/29/2018
B
Virginia 5/29/2018
B
Michigan 5/29/2018
B
Washington 5/29/2018
B
Minnesota 5/29/2018
B
West Virginia 5/29/2018
B
Mississippi 5/29/2018
B
Wisconsin 5/29/2018
B
Missouri 5/29/2018
B
Wyoming 5/29/2018
B
Montana 5/29/2018

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3 BETTER WORLD CIR, TEMECULA, CA 92590
Temecula, CA
Registered with this firm since 3/10/2016
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3 BETTER WORLD CIR, TEMECULA, CA 92590
Temecula, CA
Registered with this firm since 3/10/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/21/2013 - 02/03/2016 WADDELL & REED (CRD#:866) TORRANCE, CA
B
 09/17/2013 - 02/03/2016 WADDELL & REED (CRD#:866) TORRANCE, CA
IA
 03/06/2009 - 07/15/2010 TRUSTMONT ADVISORY GROUP, INC. (CRD#:106015) GREENSBURG, PA
B
 02/04/2009 - 07/15/2010 TRUSTMONT FINANCIAL GROUP, INC. (CRD#:18312) FULLERTON, CA
B
 03/05/2008 - 09/25/2008 LIFEMARK SECURITIES CORP. (CRD#:16204) FULLERTON, CA
IA
 03/25/2005 - 01/23/2008 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) SANTA MONICA, CA
B
 03/22/2005 - 01/23/2008 NATIONAL PLANNING CORPORATION (CRD#:29604) SANTA MONICA, CA
B
 04/06/2004 - 11/02/2004 WORLD TRADE FINANCIAL CORPORATION (CRD#:42638)
FINRA expelled the firm on 01/06/2015
SAN DIEGO, CA
B
 09/22/2000 - 03/04/2004 INTREPID SECURITIES, INC. (CRD#:19311) TORRANCE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.