Kevin L. Cline
Professional summary
Kevin Lee Cline was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin Lee Cline was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1994. Kevin had worked at 2 firms and has passed the Series 63, Series 62, Series 22 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
March 11, 2002 - January 29, 2014
SOURCE CAPITAL GROUP, INC.
March 15, 1994 - March 19, 2002
RIDGEMONT SECURITIES, 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
Series 62
Date: 3/22/1996
Corporate Securities Limited Representative ExaminationCurrent 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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