Jeffrey S. Sargent

STANSBERRY ASSET MANAGEMENT

Trumbull, CT

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CRD#: 2167467

Professional summary

Jeffrey Spencer Sargent, who also goes by Jeffrey S Sargent, is a registered financial advisor currently at STANSBERRY ASSET MANAGEMENT, LLC located in Trumbull, Connecticut.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Jeffrey has worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 3, Series 7, Series 24, Series 10, Series 9, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey S 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 Jeffrey Spencer 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

August 22, 2022 - Present

STANSBERRY ASSET MANAGEMENT, LLC

RIA

CRD#: 282103

Trumbull, CT

Past

March 18, 2021 - April 9, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

WEST HARTFORD, CT

Past

January 22, 2018 - February 27, 2021

NORTHSTAR WEALTH PARTNERS LLC

RIA

CRD#: 169409

WEST HARTFORD, CT

Past

January 12, 2018 - April 9, 2021

LPL FINANCIAL LLC

CRD#: 6413

WEST HARTFORD, CT

Past

July 30, 2009 - December 24, 2016

WESTPORT RESOURCES MANAGEMENT INC

RIA

CRD#: 105306

WESTPORT, CT

Past

July 6, 2009 - January 3, 2017

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

WESTPORT, CT

Past

September 22, 2008 - June 29, 2009

ROBOTTI SECURITIES, LLC

CRD#: 13251

NEW YORK, NY

Past

October 24, 2005 - September 23, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

NORWALK, CT

Past

September 30, 2005 - September 23, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

NORWALK, CT

Past

March 23, 2005 - June 3, 2005

NEW ENGLAND SECURITIES

RIA

CRD#: 615

NORWALK, CT

Past

March 12, 2004 - June 3, 2005

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

July 19, 2002 - March 5, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 29, 2000 - August 2, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

March 6, 1998 - March 13, 2000

PEOPLE'S SECURITIES, INC.

CRD#: 13704

BRIDGEPORT, CT

Past

April 6, 1993 - October 27, 1993

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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".

STANSBERRY ASSET MANAGEMENT, LLC

STANSBERRY ASSET MANAGEMENT LLC | STANSBERRY ASSET MANAGEMENT, LLC

CRD#: 282103 / SEC#: 801-107061

RIA

Registered Investment Advisory firm - (1/4/2016 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
(8/22/2022)

IAR

Texas
(1/2/2025)

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

IAR

Series 65

Date: 2/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/26/2024

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 2/26/2024

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/11/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/3/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 2/26/2024

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/26/2024

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 53

Date: 2/26/2024

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/26/2024

Registered Options Principal Examination

Current Firm

STANSBERRY ASSET MANAGEMENT, LLC

STANSBERRY ASSET MANAGEMENT LLC | STANSBERRY ASSET MANAGEMENT, LLC

CRD#: 282103 / SEC#: 801-107061

RIA

Registered Investment Advisory firm - (1/4/2016 Approved)

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Contact information

Main Address

1600 Solana Boulevard Building 8 Suite 8100, Westlake, TX 76262

Mailing Address

Phone number

(646) 854-4370

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STANSBERRY ASSET MANAGEMENT ADV2A 032025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,164
AUM (Assets Under Management)	$ 1,049,018,025

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.

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Firm Stability Insights

Jeffrey S. Sargent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Spencer Sargent's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

NORTHSTAR WEALTH PARTNERS LLC

LPL FINANCIAL LLC

WESTPORT RESOURCES MANAGEMENT INC

SMH CAPITAL INVESTMENTS LLC

ROBOTTI SECURITIES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

CITIGROUP GLOBAL MARKETS INC.

EQUITABLE ADVISORS, LLC

PEOPLE'S SECURITIES, INC.

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

STANSBERRY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2005

Series 63

Date: 3/4/1998

Series 7TO

Date: 2/26/2024

Series 52TO

Date: 2/26/2024

SIE

Date: 10/1/2018

Series 3

Date: 7/11/2003

Series 7

Date: 3/3/1998

Series 24

Date: 2/26/2024

Series 10

Date: 2/26/2024

Series 9

Date: 2/26/2024

Series 53

Date: 2/26/2024

Series 4

Date: 2/26/2024

Current Firm

STANSBERRY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STANSBERRY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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