Allerton Towne
Professional summary
Allerton Towne was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Allerton is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Allerton had worked at 15 firms, which includes SOURCE CAPITAL GROUP INC., MERIT CAPITAL ASSOCIATES INC., ARGENT SECURITIES INC., NICHOLS SAFINA LERNER & CO. INC., THOMAS GREEN SECURITIES INC., BARBER & BRONSON INCORPORATED, LAIDLAW GLOBAL SECURITIES INC., COMPREHENSIVE CAPITAL CORPORATION, G. K. SCOTT & CO. INC., SHEFFIELD SECURITIES INC., JW GENESIS CLEARING CORP., WACHOVIA SECURITIES INC., E. F. HUTTON & COMPANY INC, CONTISECURITIES INC., CIBC WORLD MARKETS CORP..
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 - September 20, 2006
SOURCE CAPITAL GROUP, INC.
June 3, 1998 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
February 19, 1998 - May 15, 1998
ARGENT SECURITIES, INC.
January 12, 1998 - January 28, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
July 9, 1997 - December 31, 1997
THOMAS GREEN SECURITIES, INC.
September 10, 1996 - June 18, 1997
BARBER & BRONSON INCORPORATED
March 17, 1995 - September 6, 1996
LAIDLAW GLOBAL SECURITIES, INC.
September 30, 1991 - March 24, 1995
COMPREHENSIVE CAPITAL CORPORATION
February 3, 1989 - September 30, 1991
G. K. SCOTT & CO., INC.
November 14, 1988 - January 19, 1989
SHEFFIELD SECURITIES, INC.
March 2, 1988 - October 28, 1988
JW GENESIS CLEARING CORP.
December 15, 1987 - February 27, 1988
WACHOVIA SECURITIES, INC.
October 23, 1985 - December 22, 1987
E. F. HUTTON & COMPANY INC
December 22, 1983 - January 13, 1984
CONTISECURITIES, INC.
December 22, 1983 - October 1, 1985
CIBC WORLD MARKETS CORP.
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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