David J. Sargent

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CRD#: 2603122

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David James Sargent was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1995. David had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Separately licensed as an independent insurance agent. In this capacity, the IAR can effect transactions in insurance products for clients and earn commissions for these activities.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 28, 2018 - May 23, 2023

BRAVIAS FINANCIAL

RIA

CRD#: 289589

Doylestown, PA

Past

October 7, 2002 - February 25, 2014

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

DOYLESTOWN, PA

Past

July 22, 2002 - September 6, 2002

BROADWAY TRADING, LLC

CRD#: 42429

NEW YORK, NY

Past

July 24, 2001 - March 5, 2002

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

February 6, 1998 - July 31, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

November 5, 1996 - February 10, 1998

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

January 15, 1996 - November 12, 1996

AMERICAN EAGLE INVESTMENTS, INC.

CRD#: 36025

PHILADELPHIA, PA

Past

April 5, 1995 - August 25, 1995

L.C. WEGARD & CO., INC.

CRD#: 3722

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".

BRAVIAS FINANCIAL

BRAVIAS CAPITAL GROUP, LLC | BRAVIAS FINANCIAL

CRD#: 289589 / SEC#: 801-128383

RIA

Registered Investment Advisory firm - (7/21/2023 Approved)

California

Registered Investment Advisory firm - (8/31/2023 Terminated)

Florida

Registered Investment Advisory firm - (8/1/2023 Terminated)

Georgia

Registered Investment Advisory firm - (8/3/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (8/10/2023 Terminated)

New Mexico

Registered Investment Advisory firm - (8/1/2023 Terminated)

New York

Registered Investment Advisory firm - (8/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/7/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/1/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/10/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 6/26/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/4/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/1998

General Securities Principal Examination

Current Firm

BRAVIAS FINANCIAL

BRAVIAS CAPITAL GROUP, LLC | BRAVIAS FINANCIAL

CRD#: 289589 / SEC#: 801-128383

RIA

Registered Investment Advisory firm - (7/21/2023 Approved)

California

Registered Investment Advisory firm - (8/31/2023 Terminated)

Florida

Registered Investment Advisory firm - (8/1/2023 Terminated)

Georgia

Registered Investment Advisory firm - (8/3/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (8/10/2023 Terminated)

New Mexico

Registered Investment Advisory firm - (8/1/2023 Terminated)

New York

Registered Investment Advisory firm - (8/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/7/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/1/2023 Terminated)

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Contact information

Main Address

33 Wood Avenue South 6th Floor, Iselin, NJ, 08830

Mailing Address

Phone number

(732) 702-2600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRAVIAS CAPITAL GROUP BROCHURE (FORM ADV PART 2A) (3/7/2025)

Regulatory assets under management

Total Number of Accounts	817
AUM (Assets Under Management)	$ 180,966,145

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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Advisor Monitoring

Firm Stability Insights

David J. Sargent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUMMIT BROKERAGE SERVICES, INC.

BROADWAY TRADING, LLC

WORLDCO, L.L.C.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

GRUNTAL & CO., L.L.C.

AMERICAN EAGLE INVESTMENTS, INC.

L.C. WEGARD & CO., INC.

Primary Firm SEC Registration

BRAVIAS FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/2017

Series 63

Date: 4/7/1995

Series 55

Date: 6/26/2001

Series 7

Date: 4/4/1995

Series 24

Date: 5/6/1998

Current Firm

BRAVIAS FINANCIAL

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRAVIAS FINANCIAL

TRUST BUT VERIFY

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