David R. Pohndorf
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.
David Richard Pohndorf was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 6 firms and has passed the Series 63, Series 7 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
June 12, 2002 - September 30, 2014
SOURCE CAPITAL GROUP, INC.
May 30, 1997 - November 15, 2001
TUCKER ANTHONY INCORPORATED
March 18, 1997 - August 14, 1997
GERKEN CAPITAL ASSOCIATES
September 3, 1991 - January 10, 1997
M. J. WHITMAN, INC.
September 24, 1985 - July 11, 1991
PERSHING LLC
January 3, 1984 - January 24, 1986
PETRO CONSULTANTS MANAGEMENT CORPORATION
April 16, 1981 - October 3, 1981
PETRO CONSULTANTS MANAGEMENT CORPORATION
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.
