Richard W. Sawyer
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 Wallace Sawyer was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 8 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2003 - March 16, 2007
NORTON FINANCIAL SERVICES, INC.
March 19, 2003 - April 1, 2014
COMMONWEALTH FINANCIAL NETWORK
January 5, 1999 - April 1, 2014
COMMONWEALTH FINANCIAL NETWORK
October 15, 1993 - January 27, 1999
VOYA FINANCIAL PARTNERS, LLC
September 11, 1989 - August 25, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 11, 1989 - August 25, 1992
PRUCO SECURITIES, LLC.
January 30, 1989 - August 25, 1992
PRUCO SECURITIES, LLC.
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 21, 1982 - December 31, 1998
MML INVESTORS SERVICES, LLC
March 16, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTON FINANCIAL SERVICES, INC.
CRD#: 118263 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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