Howard K. Bratches
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.
Howard Kurt Bratches, who also goes by Howard K Bratches, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1985. Howard had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2001 - April 27, 2007
SOURCE CAPITAL GROUP, INC.
August 2, 1995 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
July 31, 1993 - July 13, 1995
CITIGROUP GLOBAL MARKETS INC.
July 27, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
December 13, 1989 - June 22, 1992
UBS FINANCIAL SERVICES INC.
October 14, 1988 - January 3, 1990
ALEX. BROWN & SONS INCORPORATED
January 13, 1986 - November 5, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
July 24, 1985 - January 13, 1986
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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