Christopher S. Sargent
Professional summary
Christopher Smith Sargent, who also goes by Chris Sargent, is a registered financial advisor currently at SARGENT INVESTMENT GROUP located in Bethesda, Maryland.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Christopher has worked at 4 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Smith Sargent's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2018 - Present
SARGENT INVESTMENT GROUP
Office #1: 4920 Elm Street Suite 305, Bethesda, MD 20814July 1, 2003 - August 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 3, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 17, 1970 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
SARGENT INVESTMENT GROUP
CRD#: 297499 / SEC#: 801-113542
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/3/2018)
(9/21/2018)
Exams
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 10/5/1966
Registered Representative ExaminationCurrent Firm
SARGENT INVESTMENT GROUP
CRD#: 297499 / SEC#: 801-113542
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,381 |
| AUM (Assets Under Management) | $ 1,475,799,413 |
Red Flags
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