SIGNAL SECURITIES, INC. of FORT WORTH, TX is an SEC-registered investment adviser (CRD 15916). Regulatory assets under management: $679.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Ivan Jerry Singleton | EXE CHRM, TREAS, DIR: JOINTLY OWNED W/CARLA WRIGHT | — |
| Carla Beth Wright | DIR, CORP SEC: JOINTLY OWNED WITH JERRY SINGLETON | — |
| Christopher Richard Snow | CEO, ROSFP, DIR, MSP; CEO, ROSFP, DIR, MSP, CCO | — |
| Janet Lee Mengis | CFO | — |
| Chase Marshall Korns | CCO | — |
| SINGLETON IVAN JERRY | CHRM, TREAS, DIR, CEO; CHRM, TREAS, DIR, CEO: JOINTLY OWNED W/CARLA WRIGHT; CHRM, TREAS, DIR, CEO,MSP (+3 more) | — |
| WRIGHT CARLA BETH | CCO,DIR, CORP SEC: JOINTLY OWNED WITH JERRY SINGLETON; CFO, CCO-BD, CCO-AML, CCO-IA, SEC, DIR, COO; CFO, CCO-BD, CCO-AML, SEC, DIR, COO (+8 more) | — |
| SNOW CHRISTOPHER RICHARD | CEO, ROSFP, DIR, MSP; CEO, ROSFP, DIR, MSP, INTERM CCO; PRES, ROSFP, DIR (+4 more) | — |
| ROTHSCHILD JEFFREY HOWARD | VP, DIR; VP, DIR, DIR OF INSURANCE OPERATIONS | — |
| BECK DAVID LELAND | DIR, VP, MSP | — |
| MOYNIHAN MICHAEL CHRISTOPHER | VP, DIR, DIR OF MUTUAL FUNDS; VP, DIR, DIR OF MUTUAL FUNDS;COO; VP, DIR OF MUTUAL FUNDS | — |
| CAMPBELL LYLE RAY | CHIEF COMPLIANCE OFFICER-BD, CCO-AML, CHIEF COMPLIANCE OFFICER-IA; CHIEF COMPLIANCE OFFICER-BD, CCO-AML, CHIEF COMPLIANCE OFFICER-IA;MSP;DIR; CHIEF COMPLIANCE OFFICER-BD, CCO-AML, CHIEF COMPLIANCE OFFICER-IA, SEC | — |
| TOOLE BARRY P | CROP | — |
| CAMPBELL KEITH WAYNE | CROP | — |
| BENNETT RICHARD ERNEST | CCO-IA | — |
| MENGIS JANET LEE | CFO | — |
| SCOGGIN SAMUEL JOSEPH | CCO | — |
| KORNS CHASE MARSHALL | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2007-07-26 | regulatory | SECTION 15(C) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 15C3-3 THEREUNDER, NASD RULES 1014, 2110 - RESPONDENT MEMBER HELD CUSTOMER FUNDS REPRESENTING PAYMENT OF THE PURCHASE PRICE OF DIRECT PARTICIPATION PROGRAM (DPP) UNITS INTO ESTABLISHED ESCROW ACCOUNTS AND AS A RESULT, IT WAS REQUIRED TO P… | Final | $15K |