Thomas O. Murtha
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.
Thomas Overholt Murtha, who also goes by Tom Murtha, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2015 - November 17, 2016
SOURCE CAPITAL GROUP, INC.
January 22, 2010 - April 26, 2013
ENCLAVE CAPITAL LLC
July 25, 2007 - August 1, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2004 - January 6, 2005
CAZENOVE INCORPORATED
February 6, 1998 - August 28, 2001
T. ROWE PRICE INVESTMENT SERVICES, INC.
September 30, 1991 - February 5, 1996
ROBERT FLEMING INC.
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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