Norman O. 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.
Norman Ollo Sargent was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1967. Norman had worked at 2 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 1971 - March 23, 2001
SARGENT BROKERAGE CO.
November 21, 1967 - August 27, 1972
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/12/1966
Registered Representative ExaminationSeries 00
Date: 3/30/1972
General Securities Principal ExaminationCurrent Firm
SARGENT BROKERAGE CO.
CRD#: 5102 / SEC#: , 8-22281
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SARGENT, LENORA ELLEN | SECRETARY/TREASURER | |
| SARGENT, NORMAN OLLO | PRESIDENT | 410998 |
| SARGENT, NORMAN OLLO | PRESIDENT |
Disclosures
| Regulatory Event | 1 |
Red Flags
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