Richard A. Durot
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.
Richard Alfred Durot was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1962. Richard had worked at 8 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2001 - December 31, 2011
SOURCE CAPITAL GROUP, INC.
August 18, 1993 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
June 4, 1990 - June 11, 1993
ADVEST, INC.
April 27, 1985 - June 13, 1990
TUCKER ANTHONY INCORPORATED
September 26, 1978 - February 25, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - March 15, 1979
WHITE, WELD & CO. INCORPORATED
June 11, 1971 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
July 19, 1962 - June 11, 1971
G H WALKER & CO 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
PC
Date: 4/29/1980
AMEX Put and Call ExamSeries 1
Date: 7/19/1962
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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