Robert Turpin
Professional summary
Robert Turpin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Robert had worked at 7 firms, which includes SOURCE CAPITAL GROUP INC., UINTA INVESTMENTS INC., DESERT STAR CAPITAL CORP, STITELER INVESTMENTS INC., FSC SECURITIES CORPORATION, M.F. DIESSNER SECURITIES CORP., FFEC WEALTH PARTNERS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2010 - September 4, 2015
SOURCE CAPITAL GROUP, INC.
May 13, 2004 - December 31, 2009
UINTA INVESTMENTS, INC.
July 29, 1997 - August 15, 2001
DESERT STAR CAPITAL CORP
March 12, 1997 - August 4, 1997
UINTA INVESTMENTS, INC.
April 5, 1993 - November 1, 1995
STITELER INVESTMENTS, INC.
July 15, 1992 - February 26, 1997
FSC SECURITIES CORPORATION
January 20, 1992 - July 20, 1992
M.F. DIESSNER SECURITIES CORP.
August 7, 1985 - October 25, 1991
FFEC WEALTH PARTNERS LLC
September 29, 1982 - August 12, 1985
STITELER INVESTMENTS, INC.
State Registrations and Notice Filings
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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 |
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