Ronald A. Whitham
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.
Ronald Alan Whitham, who also goes by Ronald Whitham, was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1988. Ronald had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 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
August 6, 2013 - December 31, 2014
SOURCE CAPITAL GROUP, INC.
September 4, 2012 - December 31, 2014
SOURCE CAPITAL GROUP, INC.
May 10, 2012 - May 24, 2012
PURSHE KAPLAN STERLING INVESTMENTS
November 18, 2011 - December 13, 2011
SOURCE CAPITAL GROUP, INC.
December 1, 2001 - December 31, 2010
SOURCE CAPITAL GROUP, INC.
November 29, 1995 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
March 20, 1995 - November 10, 1995
COMMONWEALTH FINANCIAL NETWORK
May 25, 1988 - December 31, 1993
LASALLE ST SECURITIES, L.L.C.
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
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