Michael D. 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.
Michael D. Sargent, who also goes by Michael Douglas Sargent, Michael Sargent, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2020. Michael had worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2021 - August 7, 2024
JPMORGAN DISTRIBUTION SERVICES, INC.
January 13, 2021 - May 26, 2021
FLORIDA FINANCIAL ADVISORS, LLC
December 21, 2020 - May 26, 2021
TRINITY WEALTH SECURITIES, L.L.C.
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 7TO
Date: 12/10/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/21/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
JPMORGAN DISTRIBUTION SERVICES, INC.
CRD#: 104234 / SEC#: , 8-52700
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| BARTA, WENDY KAY | PRESIDENT AND DIRECTOR | 2855534 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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