SOURCE CAPITAL GROUP, INC.
CRD #36719 SEC #801-88199 WESTPORT, CT 203-341-3500 203-682-0720
SEC Registered Broker-Dealer
Total AUM
$145M
Discretionary
$108.6M
Employees
18
Clients
0
Accounts
371
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 11, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ACHZET, DAVID EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACHZET, DAVID EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACHZET, DAVID EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACHZET, DAVID EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACHZET, DAVID EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUFFY, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUFFY, PATRICK | I | CHIEF COMPLIANCE OFFICER, AMLCO, ROSFP | NA | |
| DUFFY, PATRICK | I | CHIEF COMPLIANCE OFFICER, AMLCO, ROSFP | NA | |
| DUFFY, PATRICK | I | CHIEF COMPLIANCE OFFICER, AMLCO, ROSFP | NA | |
| FITZPATRICK, ROBERT | I | FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NEWTON, RUSSELL WILLIAM | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | Control |
| RYAN, BRUCE CHARLES | I | VICE CHAIRMAN | NA | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT/ CHIEF COMPLIANCE OFFICER - INTERIM | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | E | Control |
| HARRIS, DAVID WEBSTER | I | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | E | Control |
Registrations
Federal
IA
Jul 11, 2017 REGISTERED
Notice Filings (24)
AR AZ CA CO CT FL GA LA MA MI MN NC NH NJ NV NY OR PA RI SD TX UT VA WA
Address
276 POST ROAD WESTWESTPORT, CT 06880
United States
Phone: 203-341-3500 203-682-0720