Taylor Nelson
Chief Compliance Officer and Partner
As Chief Compliance Officer at Cary Street Partners, Taylor Nelson bears the corporate responsibility of safeguarding and protecting the clients’ assets and helping financial advisors meet client needs. He does this by working with his business partners in developing successful investment consulting and management products and programs.
“Helping create these innovative products and services for our clients, with special emphasis on addressing regulatory requirements, product controls, and fair and balanced disclosures, is tremendously rewarding,” explains Taylor who joined Cary Street Partners in 2007, bringing with him almost 35 years of securities industry experience.
Taylor views the client environment at Cary Street Partners as extremely personal and based on mutual trust. He sees its financial advisory services as designed to meet the unique needs of each client; particularly as many are facing a life-changing event such as retirement or the sale of a business. As a result, Cary Street Partners’ interactions with clients are structured to benefit the client, based on their needs within the constraints of the current market environment.
Taylor began his career in the securities industry in 1976 at the Virginia State Corporation Commission where he was a broker-dealer and investment advisor examination coordinator. In 1983 he became the regulatory accountant for Wheat First Securities and later worked in internal audit before moving to compliance.
As a Managing Director at Wachovia Securities, LLC, successor to Wheat First Securities, Taylor’s responsibilities included supervising compliance associates in the monitoring, surveillance and support of the firm’s advisory products and services and financial advisors; including investment consulting and advisory services, compliance advertising reviews, product reviews, registration and licensing, financial planning, and retirement services.
Taylor is a graduate of the University of Georgia, where he earned his B.B.A. degree in Accounting. He has also served on the Securities Industry Association’s Investment Advisory Committee and is licensed as a Certified Public Accountant and Personal Financial Specialist. Taylor and his family make their home in Richmond.
