Nicholas P. Sargen

FORT WASHINGTON INVESTMENT ADVISORS

CINCINNATI, OH 45202

Some features on this profile are disabled

CRD#: 1605778

Professional summary

Nicholas Peter Sargen is a registered financial advisor currently at FORT WASHINGTON INVESTMENT ADVISORS INC located in Cincinnati, Ohio.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Nicholas has worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

FORT WASHINGTON INVESTMENT ADVISORS- YES- CINCINNATI, OH- CHIEF INVESTMENT OFFICER..... UNIVERSITY OF VA: SCHOOL OF BUSINESS-NO-VA-VISITING PROFESSOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Peter Sargen'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

July 14, 2003 - Present

FORT WASHINGTON INVESTMENT ADVISORS INC

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202

RIA

CRD#: 107126

CINCINNATI, OH

Past

July 11, 2003 - February 28, 2007

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

Past

May 1, 2001 - May 5, 2003

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 4, 1996 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

December 26, 1986 - October 11, 1991

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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".

FORT WASHINGTON INVESTMENT ADVISORS INC

CRD#: 107126 / SEC#: 801-37235

RIA

Registered Investment Advisory firm - (9/14/1990 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

Ohio
(7/14/2003)

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

State Security Law Exam

Series 63

Date: 5/31/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/10/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/26/1995

General Securities Principal Examination

Current Firm

FORT WASHINGTON INVESTMENT ADVISORS INC

CRD#: 107126 / SEC#: 801-37235

RIA

Registered Investment Advisory firm - (9/14/1990 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

303 Broadway Suite 1200, Cincinnati, OH 45202

Mailing Address

P.o. Box 2388, Cincinnati, OH 45201-2388

Phone number

(513) 361-7600

Established

Firm type

Fiscal year end

# of Employees

154

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORT WASHINGTON INVESTMENT ADVISORS FORM ADV PART 2A (10/31/2025)

FORM CRS (5/1/2025)

Regulatory assets under management

Total Number of Accounts	4,674
AUM (Assets Under Management)	$ 84,948,848,163

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/30/2025	Cover Page	Report
11/04/2024	Cover Page	Report
06/30/2023	Cover Page	Report
11/04/2022	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.

Similar Advisors

Jamie Powell

CAPITAL ADVISORY SERVICES, LLC

IAR

West Chester, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas P. Sargen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Peter Sargen's CRS (Customer Relationship Summary).

Certified licenses

Experience

W&S BROKERAGE SERVICES, INC.

J.P. MORGAN SECURITIES INC.

JPMSI

SALOMON BROTHERS INC.

Primary Firm SEC Registration

FORT WASHINGTON INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/2000

Series 65

Date: 12/10/1992

Series 7

Date: 12/20/1986

Series 24

Date: 12/26/1995

Current Firm

FORT WASHINGTON INVESTMENT ADVISORS INC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FORT WASHINGTON INVESTMENT ADVISORS INC

TRUST BUT VERIFY

Similar Advisors