Thomas D. Sargent

BRADLEY FOSTER & SARGENT | Executive Vice President

HARTFORD, CT 06103

Some features on this profile are disabled

CRD#: 1593933

Professional summary

Thomas Denney Sargent, who also goes by Thomas D Sargent, is a registered financial advisor currently at BRADLEY FOSTER & SARGENT INC located in Hartford, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 1 firm and has passed the Series 7 exam.

Question & Answer

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

Thomas D Sargent

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) - RIA

Click below to view Thomas Denney 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

October 10, 2000 - Present

BRADLEY FOSTER & SARGENT INC

Office #1: 185 Asylum Street Cityplace Ii 11th Floor, Hartford, CT, 06103

RIA

CRD#: 106928

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BRADLEY FOSTER & SARGENT INC

CRD#: 106928 / SEC#: 801-46616

RIA

Registered Investment Advisory firm - (5/31/1994 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(10/10/2000)

IAR

Illinois
(8/8/2021)

IAR

Maine
(8/8/2021)

IAR

Massachusetts
(8/9/2021)

IAR

Ohio
(8/9/2021)

IAR

Pennsylvania
(8/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 2/9/2000

General Securities Representative Examination

Current Firm

BRADLEY FOSTER & SARGENT INC

CRD#: 106928 / SEC#: 801-46616

RIA

Registered Investment Advisory firm - (5/31/1994 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

185 Asylum Street City Place Ii 11th Floor, Hartford, CT, 06103-3402

Mailing Address

Phone number

(860) 527-8050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRADLEY, FOSTER & SARGENT (5/13/2025)

Regulatory assets under management

Total Number of Accounts	4,967
AUM (Assets Under Management)	$ 8,593,473,009

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
02/02/2024	Cover Page	Report
10/26/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Richard Rake

FINANCIAL RESOURCES GROUP, LLC

IAR

GLASTONBURY, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas D. Sargent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BRADLEY FOSTER & SARGENT INC

Primary Firm SEC Registration

BRADLEY FOSTER & SARGENT INC

State Registrations and Notice Filings

Exams

Series 7

Date: 2/9/2000

Current Firm

BRADLEY FOSTER & SARGENT INC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRADLEY FOSTER & SARGENT INC

TRUST BUT VERIFY

Contact information

Similar Advisors