Alan L. Huckaby
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.
Alan Leroy Huckaby was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1997. Alan had worked at 2 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2002 - October 2, 2007
SOURCE CAPITAL GROUP, INC.
January 25, 2001 - March 19, 2002
RIDGEMONT SECURITIES, INC.
April 7, 1997 - June 12, 1997
RIDGEMONT SECURITIES, 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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Check for any disclosures as part of your thorough research when choosing an advisor.
