Expertise
Breach of Fiduciary Duty; Suitability; Failure to Supervise; FINRA; Unauthorized Trading; Selling Away; Modern Portfolio Theory; Asset Allocation; Margin; Securities Based Llines of Credit--PLA; Elder Financial Abuse; Misrepresentation; Branch Manager; Broker Dealer Employment Issues;
(For search purposes, not intended to be a comprehensive list)
Thomas Taliaferro   CIMA®,AIF®,

2907 Shelter Island Drive
San Diego, CA 92106

Work: 619-780-8049
Cell: 805-689-4936
tgtaliaferro@gmail.com
financialadvisorexpertwitness.com
Expertise
Breach of Fiduciary Duty; Suitability; Failure to Supervise; FINRA; Unauthorized Trading; Selling Away; Modern Portfolio Theory; Asset Allocation; Margin; Securities Based Llines of Credit--PLA; Elder Financial Abuse; Misrepresentation; Branch Manager; Broker Dealer Employment Issues;
(For search purposes, not intended to be a comprehensive list)

Financial advisor/portfolio manager with over 30 years’ professional experience including serving as Senior Vice President for both Morgan Stanley and Wells Fargo Advisors. Highly experienced with high net-worth and ultra-high-net worth clients. Extensive supervisory experience including managing 55 other financial advisors with in excess of $4 billion of assets under management. Experience with numerous financial advisor employment issues at broker/dealers. CIMA®--Certified Investment Management Analyst. AIF® --Accredited Investment Fiduciary. FINRA Arbitrator. Fiduciary Best Practices certified. Spotless compliance record. Accomplished public speaker. Experienced as securities expert witness in AAA, FINRA and Superior Court venues.

Curriculum Vitae

SER Voting Member