Unclaimed Profile

Ricardo Martin Rosenberg

SARGENT INVESTMENT GROUP, LLC·BETHESDA, Maryland

SIE, Series 7, Series 15, Series 63, Series 6532 years registeredSARGENT INVESTMENT GROUP, LLC

4920 ELM STREET, BETHESDA, MD 20814CRD# 728493Firm CRD# 297499

Profile Verification

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

Identity

Ricardo Martin Rosenberg · BETHESDA, MD

Registration

CRD #728493 · SARGENT INVESTMENT GROUP, LLC · 32 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

Feb 1994 – Jul 2003

WASHINGTON, DC

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 15

Series 63

Series 65

Registration record

First registered · February 19, 1994

Years registered · 32

Disclosure History

2008Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

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 Ricardo Martin Rosenberg offer?

Ricardo Martin Rosenberg specializes in Financial Planning, Investment Management. Contact their office in BETHESDA, Maryland for a consultation.

What are Ricardo Martin Rosenberg's credentials?

Ricardo Martin Rosenberg is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ricardo Martin Rosenberg located?

Ricardo Martin Rosenberg 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 Ricardo Martin Rosenberg charge for services?

Ricardo Martin Rosenberg'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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