Thomas Alling Sargent
Professional Summary
Thomas Alling Sargent is a registered financial advisor currently at WATERWAY CAPITAL LLC located in Boston, Massachusetts. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
BOSTONIA GLOBAL SECURITIES, LLC | WATERWAY CAPITAL LLC
Contact Information
Main Address
699 Boylston Street Eighth Floor, Boston, MA 02116Mailing Address
699 Boylston Street Eighth Floor, Boston, MA 02116Phone Number
(617) 226-8100Established
Massachusetts since 04/25/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (13 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(2/3/2022)
(3/17/2005)
(2/20/2025)
(12/8/2010)
(1/26/2022)
(2/18/2025)
(2/28/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 1999About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Alling Sargent's CRS (Customer Relationship Summary).
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