David W. Sargent
Professional summary
David Welles Sargent is a registered financial professional currently at STATESMAN CORPORATE FINANCE, LLC located in Houston, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 1982. David has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Welles Sargent's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2020 - Present
STATESMAN CORPORATE FINANCE, LLC
Office #1: 1900 West Loop South Suite 850, Houston, TX 77027July 25, 2012 - December 17, 2013
PAGEMILL PARTNERS, LLC
June 6, 2012 - December 17, 2013
GCP SECURITIES, LLC
July 22, 2011 - January 16, 2020
KROLL SECURITIES LLC
April 24, 1993 - June 19, 2012
GCP SECURITIES, INC.
April 6, 1984 - December 6, 1990
PRUDENTIAL EQUITY GROUP, LLC
December 30, 1982 - March 22, 1984
INSTITUTIONAL EQUITY 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
(2/19/2025)
(2/18/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
STATESMAN CORPORATE FINANCE, LLC
CRD#: 142327 / SEC#: , 8-67454
Contact information
FINRA licenses (16 States and Territories)
Documents
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