Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arizona-based Royal Alliance Associates broker/adviser Charles Taylor, who has received a customer dispute, was recently named in a pending FINRA complaint alleging he participated in an unapproved and undisclosed outside business activity. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Taylor (CRD# 443066).
Charles Taylor has spent 37 years in the securities industry and has been registered with Royal Alliance Associates in Prescott, Arizona since 1989. Previous registrations include Integrated Resources Equity Corporation (1987-1989) and Financial Planners Equity Corporation (1981-1987). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 22, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 10, 1982; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 1 (Registered Representative Examination), which he obtained on May 10, 1969; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on March 20, 2003; and Series 24 (General Securities Principal Examination), which he obtained on August 5, 1982. He is a registered broker and investment adviser with 30 US states and territories.
According to his BrokerCheck report, he has received one pending regulatory complaint, one customer complaint, and one customer complaint that was denied.