Jeffrey Sargent
Professional summary
Jeffrey Sargent, who also goes by Jeff J Sargent, Jeff Joseph Sargent, Jeffrey Joseph Sargent, is a registered financial professional 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 24 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Sargent's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2026 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017October 25, 2024 - July 13, 2026
WELLS FARGO SECURITIES, LLC
March 22, 2024 - October 7, 2024
BERNSTEIN INSTITUTIONAL SERVICES LLC
May 14, 2014 - January 2, 2015
NEWEDGE USA, LLC
January 17, 2013 - April 9, 2024
SG AMERICAS SECURITIES, LLC
April 22, 2009 - January 7, 2013
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
June 20, 2008 - April 1, 2009
WELLS FARGO SECURITIES, LLC
March 15, 2004 - June 13, 2008
TD SECURITIES (USA) LLC
February 12, 2003 - March 4, 2004
MAPLE SECURITIES U.S.A. INC.
February 15, 2001 - December 9, 2002
APEX CLEARING CORPORATION
March 7, 2000 - January 31, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 23, 1999 - February 17, 2000
OSAIC WEALTH, INC.
July 24, 1997 - February 8, 1999
HARRISDIRECT LLC
March 31, 1997 - June 30, 1997
GRUNTAL & CO., L.L.C.
December 5, 1996 - March 3, 1997
D. H. BLAIR & CO., INC.
November 5, 1996 - December 12, 1996
UBS FINANCIAL SERVICES INC.
June 17, 1996 - October 21, 1996
JOSEPH STEVENS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/9/2026)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 7/12/2004
Limited Representative-Equity Trader Exam24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Texas Stock Exchange LLC
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 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 | 20 |
| Criminal | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
