Russell W. Newton
Professional summary
Russell William Newton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Russell is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Russell had worked at 8 firms, which includes SOURCE CAPITAL GROUP INC., MERIT CAPITAL ASSOCIATES INC., PENDRICK REEVES ASSOCIATES INC., SOURCE CAPITAL MANAGEMENT, GLEN RAUCH SECURITIES INC., PRESCOTT BALL & TURBEN INC., L. F. ROTHSCHILD & CO. INCORPORATED, GABRIELE HUEGLIN & CASHMAN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2006 - October 14, 2016
SOURCE CAPITAL GROUP, INC.
December 1, 2001 - October 14, 2016
SOURCE CAPITAL GROUP, INC.
October 13, 1992 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
August 7, 1991 - October 9, 1992
PENDRICK REEVES ASSOCIATES, INC.
June 3, 1991 - October 17, 2006
SOURCE CAPITAL MANAGEMENT
November 12, 1990 - August 1, 1991
GLEN RAUCH SECURITIES, INC.
January 24, 1985 - July 17, 1989
PRESCOTT, BALL & TURBEN, INC.
May 7, 1984 - January 28, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
March 2, 1982 - July 9, 1984
GABRIELE, HUEGLIN & CASHMAN INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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