Stacey Lynn Sargent
CFP®Professional Summary
Stacey Lynn Sargent, CFP®, who also goes by Stacey L Sargent, Stacey Spear, is a registered financial advisor currently at CHICAGO CAPITAL, LLC located in Chicago, Illinois. Stacey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Stacey has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stacey L Sargent, Stacey Spear
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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Credentials
Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
CHICAGO CAPITAL, LLC
Contact Information
Main Address
550 W. Washington Blvd. Ste. 1650, Chicago, IL 60661Phone Number
(312) 429-2333# of Employees
18SEC notice filing (33 States and Territories)
Registered to provide investment advisory services in 33 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,319AUM (Assets Under Management)
$4,823,333,873Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/08/2026 | Cover Page | Report |
| 08/08/2025 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CHICAGO CAPITAL, LLC
State Registrations and Notice Filings
(4/4/2018)
(4/4/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1997Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Stacey Lynn Sargent's CRS (Customer Relationship Summary).
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