Peter H. Sargent
JANNEY MONTGOMERY SCOTT | Financial Advisor
Raleigh, NC 27612
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CRD#: 2251991
Professional summary
Peter Haughton Sargent, CFP® is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Raleigh, North Carolina.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Biography
Provide comprehensive wealth management services in a boutique format to a relatively small group of successful and wealthy individuals.
Peter has 25 years of industry experience and holds both the CFA designation and CFP® certificate, a designation awarded by the Certified Financial Planner Board of Standards, Inc. He uses this exceptional background to help serve the needs of a small group of wealthy families and small to medium sized foundations and institutions. His client base is an eclectic mix of people that include hedge fund principals, current or former presidents or CEO's of public companies, a number of founders of privately held corporations and several non-profit institutions.
Peter has been featured on several national broadcasts as a spokesperson discussing a variety of financial topics. In addition, Peter was featured in On Wall Street magazine's “Top 40 Advisors Under 40”, was selected to the annual Barron's “Top Advisers” in 2009, 2010, 2012, and 2017 through 2019, named in the Financial Times "Top 400 Financial Advisors" list in 2017 and 2018, and made the "Best-in-State Wealth Advisor" list by Forbes in 2018 and 2019.
He serves as Chairman of Janney's Financial Advisor Council, is a member of the New York Society of Security Analysts, a member of the University of Delaware Financial Planning and Wealth Management Advisory Board. He is a former Board Member of the Alumni Association at the University of Delaware's Business School.
Peter and his wife, Amy, reside in Upper Makefield, PA with their four children.
Question & Answer
What are your service offerings?
Trust & estate planning
Philanthropic services
Financial planning
Executive services/Equity comp...
Insurance
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Haughton Sargent's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Haughton Sargent's 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®
Experience
Current
February 23, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4140 Parklake Avenue Glenlake One, Suite 300, Raleigh, NC 27612Office #2: 1010 Stony Hill Road Suite 300, Yardley, PA 19067Office #3: 701 East Gate Drive Suite 210, Mt. Laurel, NJ 08054RIA
BD
CRD#: 463
Raleigh, NC
Current
February 23, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4140 Parklake Avenue Glenlake One, Suite 300, Raleigh, NC 27612Office #2: 1010 Stony Hill Road Suite 300, Yardley, PA 19067Office #3: 701 East Gate Drive Suite 210, Mt. Laurel, NJ 08054RIA
BD
CRD#: 463
Raleigh, NC
Past
February 1, 2001 - February 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
YARDLEY, PA
Past
November 6, 1992 - February 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
YARDLEY, PA
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Alabama(1/9/2014)
RR
Arizona(2/23/2012)
RR
California(2/23/2012)
IAR
California(3/23/2012)
RR
Colorado(10/20/2014)
RR
Connecticut(2/23/2012)
RR
Delaware(2/23/2012)
RR
District of Columbia(5/9/2019)
RR
Florida(2/23/2012)
IAR
Florida(9/17/2024)
RR
Georgia(2/23/2012)
RR
Hawaii(10/7/2020)
RR
Idaho(7/1/2022)
RR
Illinois(8/4/2016)
RR
Indiana(5/1/2015)
RR
Kansas(6/4/2014)
RR
Kentucky(1/9/2019)
RR
Louisiana(8/4/2016)
RR
Maine(8/4/2016)
RR
Maryland(2/23/2012)
RR
Massachusetts(5/5/2015)
RR
Michigan(8/4/2015)
RR
Minnesota(2/23/2012)
RR
Missouri(3/13/2018)
RR
Montana(3/28/2025)
RR
Nebraska(9/21/2021)
RR
New Hampshire(2/23/2012)
RR
New Jersey(2/23/2012)
IAR
New Jersey(2/23/2012)
RR
New Mexico(5/17/2024)
RR
New York(2/23/2012)
RR
North Carolina(2/23/2012)
IAR
North Carolina(4/18/2012)
RR
Ohio(2/19/2016)
RR
Oregon(6/1/2022)
RR
Pennsylvania(2/23/2012)
IAR
Pennsylvania(2/23/2012)
RR
South Carolina(8/4/2016)
RR
Tennessee(8/4/2016)
RR
Texas(2/23/2012)
IAR
Texas(2/23/2012)
RR
Utah(12/10/2019)
RR
Vermont(3/20/2017)
RR
Virginia(10/20/2014)
RR
Washington(4/18/2017)
RR
Wisconsin(8/28/2024)
RR
Wyoming(8/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
Financial AdvisorCRD#: 463Raleigh, NC 27612TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
