John D. Schipfer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Dean Schipfer JR, who also goes by Dean Schipfer, Jr John Dean Schipfer, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2002 - June 28, 2011
SOURCE CAPITAL GROUP, INC.
May 17, 1999 - March 15, 2002
INTERFIRST CAPITAL CORPORATION
August 23, 1996 - May 11, 1999
FIRST ALLIED SECURITIES, INC.
February 2, 1995 - August 12, 1996
GAINEY FINANCIAL SERVICES, INC.
May 28, 1993 - January 25, 1995
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1988 - June 15, 1993
LEHMAN BROTHERS INC.
November 10, 1983 - March 5, 1988
PRUDENTIAL EQUITY GROUP, LLC
July 2, 1981 - December 1, 1983
RAUSCHER PIERCE REFSNES, 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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