David N. Slavny
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.
David Nathaniel Slavny, who also goes by Dave Slavny, David N Slavny, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 6 firms and has passed the Series 63, Series 65, SIE, 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
April 8, 2015 - November 4, 2016
SOURCE CAPITAL GROUP, INC.
March 16, 2011 - November 28, 2012
SHORELINE PACIFIC, LLC
March 18, 2008 - March 19, 2009
NEWBRIDGE SECURITIES CORPORATION
January 19, 2001 - February 22, 2008
J.P. TURNER & COMPANY, L.L.C.
January 27, 1999 - December 21, 2000
MARION BASS SECURITIES CORPORATION
November 20, 1985 - October 5, 1998
H.J. MEYERS & CO., 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
