DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Charles Francis Taylor

LPL Financial LLCBD affiliatedRenton, Wa dual registrantIAPD 5913119

Feed of 09/14/2026

Also filed as Charles Francis Taylor

At current firm

0 y

since Apr 13, 2026

In the industry

15 y

since May 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Apr 13, 2026 · Bellevue, Wa
Financial Advocates Investment Management former
Dec 22, 2023 to Sep 30, 2024 · Olympia, Wa
LPL Financial LLC BD affiliated
Dec 7, 2023 to Apr 10, 2026 · Bellevue, Wa
MML Investors Services, LLC BD affiliated
Jul 25, 2022 to Nov 30, 2023 · Seattle, Wa
J.P. Morgan Securities LLC wirehouse
Dec 20, 2018 to Jul 12, 2022 · Newcastle, Wa
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 15, 2017 to Dec 24, 2018 · Seattle, Wa
J.P. Morgan Securities LLC wirehouse
Apr 1, 2013 to Sep 27, 2017 · Enumclaw, Wa

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Financial Advocates Investment Management
left Apr 10, 2026, registered Dec 22, 2023 (-840 days) · Affiliated broker-dealer or bank to independent RIA
Financial Advocates Investment Management to LPL Financial LLC
left Sep 30, 2024, registered Apr 13, 2026 (560 days) · RIA to affiliated broker-dealer or bank
MML Investors Services, LLC to LPL Financial LLC
left Nov 30, 2023, registered Dec 7, 2023 (7 days) · Affiliated broker-dealer or bank to another
J.P. Morgan Securities LLC to MML Investors Services, LLC
left Jul 12, 2022, registered Jul 25, 2022 (13 days) · Wirehouse to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to J.P. Morgan Securities LLC
left Dec 24, 2018, registered Dec 20, 2018 (-4 days) · Wirehouse to wirehouse
J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Sep 27, 2017, registered Sep 15, 2017 (-12 days) · Wirehouse to wirehouse

Signals

Charles Francis Taylor left Lpl Financial Llc for Financial Advocates Investment Management (registered 2023-12-22)
Apr 10, 2026 · Advisor changed firm · fact
Charles Francis Taylor left Financial Advocates Investment Management for Lpl Financial Llc (registered 2026-04-13)
Sep 30, 2024 · Advisor changed firm · fact
Charles Francis Taylor left Mml Investors Services, Llc for Lpl Financial Llc (registered 2023-12-07)
Nov 30, 2023 · Advisor changed firm · fact
Charles Francis Taylor left J.P. Morgan Securities Llc for Mml Investors Services, Llc (registered 2022-07-25)
Jul 12, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address