Joey C. Broussard
Professional summary
Joey Cless Broussard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joey is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Joey had worked at 2 firms, which includes SOURCE CAPITAL GROUP INC., RED RIVER SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - April 21, 2014
SOURCE CAPITAL GROUP, INC.
December 8, 2009 - February 3, 2010
RED RIVER SECURITIES, LLC
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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