Securities Consulting Compliance & Operations
We provide CCO & COO expertise for the securities industry!
Securities Consulting Compliance & Operations
We provide CCO & COO expertise for the securities industry!
About Taylor & Company
Taylor & Company has been in business since 1998.
We are a “securities industry” consulting firm providing an important array of expertise in the industry.
Taylor & Company specializes in compliance, operations processes, registration (firm and individual), and regulatory procedures for the financial services industry.
We provide our clients, ongoing industry and firm support with direct access consultation. We will fit your need and your budget!
Tracy D Taylor, founder and CEO recognizes the importance his firm’s services provide: “Our clients feel the immediate and direct impact when they engage our services, first in the relief mode knowing someone is there to help and second in the support and/or completion of the responsibilities that are required.”
“The role we take, on behalf of our client is as if we were employed by the firm as the Chief Compliance Officer (CCO) or Chief Operations Officer (COO). For some clients we are the CCO and/or COO.
We take the responsibility seriously since our clients
regulatory exposure is at stake.
Consulting Services
Clients retain Taylor & Company's services on a monthly basis 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.
We also have project clients. We provide all services on a specific contractual basis.
Unlike the larger consulting firms, the name on the door is the professional you sign the agreement with and who does the work. The “compliance in the box” firms just do not have the personal access or experience that our clients want and need.
If your firm is seeking CCO or COO expertise, would you, as the CCO or COO
rather spend your time more efficiently?
As the principal or owner of your firm, would your firm benefit greatly by allowing you to focus on revenue or new business production or actually acting as the CEO/Officer/Owner of the firm?
We will help you navigate through the difficulties and nuances of the compliance environment.
Our Experience
Tracy Taylor has over 45 years in the securities industry and is FINRA licensed series 4, 7, 24, 99 and also licensed series 63, 65.
Mr. Taylor began his career in 1982 with Baraban Securities in Long Beach, California. In 1992, he then joined Centrum Services Inc., which was owned and operated by five broker-dealers (Sentra Securities, Spelman & Company, Girard Securities, Titan Value Equities and Centaurus Financial) in San Diego and Irvine California. He then joined H. J. Meyers, Inc. in Rochester, New York in 1994.
Mr. Taylor started his own firm in 1998 and relocated to Arizona in 1999.
TAYLOR & COMPANY
Office/Cell: 602-301-9955
Email: Ttaylor@TaylorandCompany.net
TaylorandCompany.net
Time is of the essence, use it to your advantage, engage Taylor & Company today!