David B. Kohler
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 Brian Kohler was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 4, Series 27 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
June 2, 2003 - October 25, 2011
SOURCE CAPITAL GROUP, INC.
March 11, 2002 - June 10, 2003
SUNAMERICA SECURITIES, INC.
March 22, 2001 - March 25, 2002
WELLS FARGO INVESTMENTS, LLC
March 20, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
November 9, 1998 - March 14, 2001
MERIT CAPITAL ASSOCIATES, INC.
July 11, 1996 - November 11, 1998
CAPITAL WEST INVESTMENT GROUP, INC.
May 20, 1994 - September 12, 1996
TEXAS CAPITAL SECURITIES, INC.
January 14, 1994 - May 16, 1994
TAMARON INVESTMENTS, INC.
May 4, 1993 - January 20, 1994
WALFORD & COMPANY, 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
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