Gary L. 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.
Gary Lee Sargent was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1989. Gary had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2011 - November 4, 2015
OAK POINT FINANCIAL GROUP
September 2, 2011 - September 9, 2015
LPL FINANCIAL LLC
March 6, 2009 - September 15, 2011
OPPENHEIMER & CO. INC.
March 6, 2009 - September 15, 2011
OPPENHEIMER & CO. INC.
June 28, 2007 - March 13, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 12, 2006 - March 13, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 31, 1993 - May 22, 2006
CITIGROUP GLOBAL MARKETS INC.
November 21, 1989 - July 31, 1993
LEHMAN BROTHERS 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
Current Firm
OAK POINT FINANCIAL GROUP
CRD#: 155126 / SEC#: 801-71916
Contact information
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.
