Guy T. Mohead
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.
Guy Telford Mohead III was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1984. Guy had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2006 - December 31, 2014
SOURCE CAPITAL GROUP, INC.
February 17, 2006 - August 11, 2006
A. G. EDWARDS & SONS, INC.
February 16, 2006 - August 11, 2006
A. G. EDWARDS & SONS, INC.
June 16, 2004 - May 24, 2005
INVEST FINANCIAL CORPORATION
June 9, 2004 - May 24, 2005
INVEST FINANCIAL CORPORATION
February 20, 2003 - January 7, 2004
ALLSTATE FINANCIAL SERVICES, LLC
May 22, 2002 - July 19, 2002
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 14, 1998 - July 19, 2002
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 12, 1998 - July 22, 1998
PFIC SECURITIES CORPORATION
April 17, 1997 - April 16, 1998
TRANS FINANCIAL INVESTMENT SERVICES, INC.
April 29, 1996 - March 31, 1997
METROPOLITAN LIFE INSURANCE COMPANY
April 29, 1996 - March 31, 1997
MSI FINANCIAL SERVICES, INC.
February 14, 1995 - January 11, 1996
JMC INVESTMENT SERVICES, INC.
June 8, 1993 - February 13, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 8, 1993 - February 13, 1995
OSAIC FA, INC.
February 22, 1988 - September 9, 1989
MORGAN STANLEY DW INC.
February 25, 1987 - February 25, 1988
A. G. EDWARDS & SONS, INC.
November 1, 1984 - February 24, 1987
SOUTHEASTERN CAPITAL GROUP, INC.
April 11, 1984 - November 9, 1984
UNITED FINANCIAL SECURITIES CORP.
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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