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Jeffrey Sargent

TD SECURITIES (USA)

NEW YORK, NY

·CRD# 2648637·30 years experience

Professional Summary

Jeffrey Sargent, who also goes by Jeff J Sargent, Jeff Joseph Sargent, Jeffrey Joseph Sargent, is a registered financial advisor currently at TD SECURITIES (USA) LLC located in New York, New York. Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1996. Jeffrey has worked at 15 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, Series 3, SIE, Series 55, Series 7, Series 14,...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jeff J Sargent, Jeff Joseph Sargent, Jeffrey Joseph Sargent

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

30 years in the financial services industry

Current & Past Employments

TD SECURITIES (USA) LLC·CRD# 18476

BD

One Vanderbilt Avenue, New York, NY 10017

July 9, 2026 - Present

WELLS FARGO SECURITIES, LLC·CRD# 126292

BD

New York, NY

October 25, 2024 - July 13, 2026

BERNSTEIN INSTITUTIONAL SERVICES LLC·CRD# 317807

BD

New York, NY

March 22, 2024 - October 7, 2024

NEWEDGE USA, LLC·CRD# 36118

BD

New York, NY

May 14, 2014 - January 2, 2015

SG AMERICAS SECURITIES, LLC·CRD# 128351

BD

New York, NY

January 17, 2013 - April 9, 2024

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC·CRD# 130847

BD

New York, NY

April 22, 2009 - January 7, 2013

WELLS FARGO SECURITIES, LLC·CRD# 126292

BD

New York, NY

June 20, 2008 - April 1, 2009

TD SECURITIES (USA) LLC·CRD# 18476

BD

New York, NY

March 15, 2004 - June 13, 2008

MAPLE SECURITIES U.S.A. INC.·CRD# 33947

BD

Jersey City, NJ

February 12, 2003 - March 4, 2004

APEX CLEARING CORPORATION·CRD# 13071

BD

Dallas, TX

February 15, 2001 - December 9, 2002

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC·CRD# 18353

BD

Newark, NJ

March 7, 2000 - January 31, 2001

OSAIC WEALTH, INC.·CRD# 23131

BD

Scottsdale, AZ

February 23, 1999 - February 17, 2000

HARRISDIRECT LLC·CRD# 42159

BD

Jersey City, NJ

July 24, 1997 - February 8, 1999

GRUNTAL & CO., L.L.C.·CRD# 372

BD

New York, NY

March 31, 1997 - June 30, 1997

D. H. BLAIR & CO., INC.·CRD# 6833

BD

New York, NY

December 5, 1996 - March 3, 1997

UBS FINANCIAL SERVICES INC.·CRD# 8174

BD

Weehawken, NJ

November 5, 1996 - December 12, 1996

JOSEPH STEVENS & CO., INC.·CRD# 35459

BD

Brooklyn, NY

June 17, 1996 - October 21, 1996

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Current Firm

TS

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: 8-36747

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone Number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm Type

Limited Liability Company

Fiscal Year End

October

Firm Size

Large

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.	PARENT	—
BROADBERY, MICHAEL	CHIEF COMPLIANCE OFFICER	6947899
GIBSON, GLENN	CHIEF EXECUTIVE OFFICER	5659024
ORTIZ, JORGE LUIS	FINANCIAL & OPERATIONS PRINCIPAL	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468
WONG, KRISTIE	CHIEF FINANCIAL OFFICER	4725261

Disclosures

Regulatory Event

22

Criminal

1

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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.

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State Registrations and Notice Filings

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

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

New York
(7/9/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1996About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 3 — National Commodity Futures Examination

Passed Dec 2019About the Series 3 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jul 2004

Series 7 — General Securities Representative Examination

Passed Jun 1996About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Sep 2026About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Apr 1999About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Aug 1998About the Series 4 exam

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CRS (Client Relationship Summary) - BD

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

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JS

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