Lemuel M. Bargeron
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.
Lemuel Mills Bargeron, who also goes by Lem Bargeron, was a registered financial professional .
Lemuel is a previously registered financial professional and started their career in finance in 1970. Lemuel had worked at 8 firms and has passed the Series 63, Series 6 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
January 16, 1996 - March 22, 2006
OGILVIE SECURITY ADVISORS CORPORATION
January 24, 1994 - January 19, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 23, 1988 - April 19, 1988
LEHMAN BROTHERS INC.
May 26, 1982 - December 19, 1988
PHOENIX FINANCIAL CORPORATION
April 1, 1980 - December 22, 1981
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 1, 1980 - December 22, 1981
OSAIC FA, INC.
November 22, 1978 - January 31, 1980
FINANCIAL RESEARCH COMPANY
June 19, 1970 - November 27, 1978
PW SECURITIES, 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
Series 1
Date: 6/10/1970
Registered Representative ExaminationCurrent Firm
OGILVIE SECURITY ADVISORS CORPORATION
CRD#: 10105 / SEC#: 801-44573, 8-26505
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
