Michael S. Schwefel
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.
Michael S Schwefel was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 4 firms and has passed the Series 66, SIE, Series 7 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
October 17, 2006 - December 5, 2014
SOURCE CAPITAL GROUP, INC.
June 15, 2004 - October 17, 2006
SOURCE CAPITAL MANAGEMENT
May 18, 2004 - December 5, 2014
SOURCE CAPITAL GROUP, INC.
June 25, 2003 - June 15, 2004
UBS FINANCIAL SERVICES INC.
June 3, 2003 - June 15, 2004
UBS FINANCIAL SERVICES INC.
May 14, 2003 - June 3, 2003
THE LEADERS GROUP, 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
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.
