Unclaimed Profile

Christopher Smith Sargent

SARGENT INVESTMENT GROUP, LLC·BETHESDA, Maryland

SIE, Series 1, Series 63, Series 65Clean record30 years registeredSARGENT INVESTMENT GROUP, LLC

4920 ELM STREET, BETHESDA, MD 20814CRD# 410969Firm CRD# 297499

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Christopher Smith Sargent · BETHESDA, MD

Registration

CRD #410969 · SARGENT INVESTMENT GROUP, LLC · 30 years registered

Brand Profile

Not yet started

Career History

SARGENT INVESTMENT GROUP

Aug 2018 – present

WELLS FARGO CLEARING SERVICES, LLC

Jul 2003 – Aug 2018

WASHINGTON, DC

PRUDENTIAL SECURITIES INCORPORATED

Jun 1996 – Jul 2003

WASHINGTON, DC

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 63

Series 65

Registration record

First registered · June 3, 1996

Years registered · 30

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SARGENT INVESTMENT GROUP, LLC

CRD 297499 · SEC 801-113542

AUM

$1.1B

Regulatory assets under management

Employees

1,676 client accounts

Services offered by SARGENT INVESTMENT GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SARGENT INVESTMENT GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Christopher Smith Sargent offer?

Christopher Smith Sargent specializes in Financial Planning, Investment Management. Contact their office in BETHESDA, Maryland for a consultation.

What are Christopher Smith Sargent's credentials?

Christopher Smith Sargent is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Christopher Smith Sargent located?

Christopher Smith Sargent is based in BETHESDA, Maryland, working with SARGENT INVESTMENT GROUP, LLC. Their office serves clients in the BETHESDA metropolitan area and surrounding communities.

How does Christopher Smith Sargent charge for services?

Christopher Smith Sargent's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SARGENT INVESTMENT GROUP, LLC?

SARGENT INVESTMENT GROUP, LLC has approximately 13 employees and manages $1.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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