Robert W. Middleton
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.
Robert Ware Middleton was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 41, Series 5, Series 000, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2005 - December 31, 2014
SOURCE CAPITAL GROUP, INC.
November 23, 1998 - September 28, 2005
GEMINI FINANCIAL CORPORATION
January 17, 1994 - August 28, 1998
TRAUTMAN WASSERMAN & COMPANY, INC.
August 24, 1993 - November 5, 1993
C. L. KING & ASSOCIATES, INC.
July 26, 1985 - June 2, 1993
BARCLAY INVESTMENTS LLC
January 27, 1983 - July 15, 1985
FAHNESTOCK INTERNATIONAL INC.
May 30, 1974 - February 2, 1983
BURGESS & LEITH INCORPORATED
July 7, 1971 - June 17, 1974
THOMSON MCKINNON 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 41
Date: 1/7/1982
NYSE Allied Member ExaminationSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationSeries 000
Date: 7/1/1971
General Securities Principal ExaminationSeries 1
Date: 7/1/1971
Registered 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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