David B. Fenwick
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 Bosley Fenwick was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2002 - March 20, 2003
SOURCE CAPITAL GROUP, INC.
August 14, 2000 - May 2, 2002
UBS FINANCIAL SERVICES INC.
October 23, 1998 - August 14, 2000
J.C. BRADFORD & CO.
April 8, 1993 - November 23, 1998
MORGAN KEEGAN & COMPANY, LLC
August 22, 1989 - April 27, 1993
J.C. BRADFORD & CO.
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 8
Date: 6/21/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
