Robert T. Colgan
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.
Robert Tilford Colgan III, who also goes by Bob Colgan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 55, Series 3, 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
January 20, 2014 - November 4, 2015
SOURCE CAPITAL GROUP, INC.
December 14, 2009 - January 18, 2012
BGC FINANCIAL, L.P.
May 5, 2009 - November 9, 2009
THE WILLIAMS CAPITAL GROUP, L.P.
January 12, 2007 - May 12, 2009
DOMINARI SECURITIES LLC
February 27, 2002 - April 26, 2006
KNIGHT CAPITAL AMERICAS, L.P.
February 5, 2001 - February 15, 2002
W.R. HAMBRECHT + CO., LLC
March 5, 1991 - January 27, 2000
JEFFERIES LLC
October 25, 1983 - June 29, 1990
JEFFERIES LLC
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
Series 55
Date: 2/4/2003
Limited Representative-Equity Trader ExamCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
