Thomas A. Sargent

WATERWAY CAPITAL LLC

Boston, MA 02116

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CRD#: 1111329

Professional summary

Thomas Alling Sargent is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Alling Sargent's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 17, 2005 - Present

WATERWAY CAPITAL LLC

Office #1: 699 Boylston St. Eighth Floor, Boston, MA 02116Office #2: 699 Boylston Street Eighth Floor, Boston, MA 02116

CRD#: 128212

Boston, MA

Past

August 2, 1990 - March 23, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 7, 1985 - August 14, 1990

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

November 27, 1984 - July 19, 1985

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

October 10, 1983 - December 6, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

July 21, 1983 - August 29, 1983

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(2/3/2022)

Illinois
(3/17/2005)

Indiana
(2/20/2025)

Massachusetts
(12/8/2010)

New York
(1/26/2022)

Ohio
(2/18/2025)

Virginia
(2/28/2022)

Exams

State Security Law Exam

Series 63

Date: 8/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 10/10/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/20/1999

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

WATERWAY CAPITAL LLC

BOSTONIA GLOBAL SECURITIES, LLC | WATERWAY CAPITAL LLC

CRD#: 128212 / SEC#: , 8-66108

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

699 Boylston Street Eighth Floor, Boston, MA 02116

Mailing Address

699 Boylston Street Eighth Floor, Boston, MA 02116

Phone number

(617) 226-8100

Established

Massachusetts since 04/25/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (13 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WATERWAY PARTNERS LLC	OWNER
HOPKINS, THOMAS JOHN	FINOP, POO, & PFO	1835087
SARGENT, THOMAS ALLING	PRESIDENT/CEO	1111329
WARD, ANA FORTES	CCO	3274959

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas A. Sargent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Alling Sargent's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGG MASON WOOD WALKER, INCORPORATED

PERSHING LLC

MOSELEY SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

H.C.WAINWRIGHT & CO., LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/1983

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1983

Series 24

Date: 2/16/2012

Series 10

Date: 10/10/2000

Series 9

Date: 12/20/1999

FINRA

Current Firm

WATERWAY CAPITAL LLC

Contact information

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WATERWAY CAPITAL LLC

TRUST BUT VERIFY

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