Joseph D. Sargent
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.
Joseph Denny Sargent was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1954. Joseph had worked at 4 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 1994 - February 25, 2013
BRADLEY FOSTER & SARGENT INC
December 2, 1986 - December 9, 1992
CONNING INTERNATIONAL, INC.
February 24, 1971 - November 7, 1980
FOX-PITT, KELTON, INC.
July 29, 1954 - August 24, 1995
CONNING & COMPANY
Primary Firm SEC Registration
BRADLEY FOSTER & SARGENT INC
CRD#: 106928 / SEC#: 801-46616
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRADLEY FOSTER & SARGENT INC
CRD#: 106928 / SEC#: 801-46616
Contact information
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,967 |
| AUM (Assets Under Management) | $ 8,593,473,009 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 02/02/2024 | ||
| 10/26/2022 |
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.
