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Detailed Report
TAYLOR JAMES ELROY ELLIOTT
CRD#: 6501374
IA
Investment Adviser
B
Broker
CAPTRUSTCRD#: 175112 740 University Avenue
Sacramento, CA 95825
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 740 University Avenue
Sacramento, CA 95825
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2015 - 2021 (6 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2021 (3 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2017 - 2018 (1 year)
License(s)

State Registrations

B
California 8/24/2021
IA
Texas 8/24/2021
IA
California 8/24/2021

SRO Registrations

B
 FINRA

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
CAPTRUST (CRD#:175112)
740 University Avenue, Sacramento, CA 95825
Registered with this firm since 8/24/2021
B
CAPFINANCIAL SECURITIES, LLC. (CRD#:126291)
740 University Avenue, Sacramento, CA 95825
Registered with this firm since 8/24/2021
Previous Registration(s)
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IA
 07/13/2018 - 07/12/2021 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
B
 07/28/2015 - 07/09/2021 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) ROSEVILLE, CA
IA
 03/14/2017 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) ROSEVILLE, 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.