Randy M. Sauve
Professional summary
Randy Mark Sauve is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Fargo, North Dakota.
Randy is registered as a RR (Registered Representative) and started their career in finance in 1980. Randy has worked at 7 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE, Series 62 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randy Mark Sauve's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 1994 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 818 Main Avenue Suite 4, Fargo, ND 58103January 2, 1992 - May 25, 1994
CETERA WEALTH SERVICES, LLC
March 23, 1990 - December 31, 1991
OPPENHEIMER & CO. INC.
December 23, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
February 27, 1984 - December 23, 1988
MORISON SECURITIES, INC.
May 13, 1980 - March 9, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 13, 1980 - March 9, 1982
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
(1/28/1998)
(5/24/1994)
(5/24/1994)
(1/6/2014)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 62
Date: 4/21/2008
Corporate Securities Limited Representative ExaminationSeries 1
Date: 5/6/1980
Registered Representative ExaminationFINRA
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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