Harold J. Sargent
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.
Harold John Sargent JR, who also goes by Hal Sargent, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1984. Harold had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 14, 2011 - November 19, 2014
1ST GLOBAL ADVISORS INC
December 11, 2009 - July 17, 2014
POWER WEALTH MANAGEMENT LLC
February 4, 2008 - December 3, 2014
HEADQUARTERS ADVISORY GROUP, LLC
June 9, 2005 - December 31, 2007
POWER WEALTH MANAGEMENT LLC
April 21, 2005 - December 31, 2007
HEADQUARTERS ADVISORY GROUP, LLC
April 10, 2001 - November 19, 2014
1ST GLOBAL CAPITAL CORP.
January 2, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 2, 1997 - April 18, 2001
SIGNATOR INVESTORS, INC.
April 20, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
February 7, 1984 - December 12, 1996
MONY SECURITIES 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
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
