Seth P. Sprouse
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.
Seth Peyton Sprouse was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2000. Seth had worked at 2 firms and has passed the Series 63, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2011 - January 15, 2013
SOURCE CAPITAL GROUP, INC.
June 29, 2006 - October 16, 2006
SOURCE CAPITAL GROUP, INC.
January 9, 2003 - June 22, 2006
SOURCE CAPITAL GROUP, INC.
March 11, 2002 - August 20, 2002
SOURCE CAPITAL GROUP, INC.
July 28, 2000 - 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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
