GS
Geoffrey B. Sargeant
DOMINARI SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 4367730
GS
Professional summary
Geoffrey Bruce Sargeant, CFP®, who also goes by Geoff Bruce Sargeant, Geoffrey B Sargeant, is a registered financial advisor currently at DOMINARI SECURITIES LLC located in New York, New York.
Geoffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Geoffrey has worked at 14 firms and has passed the Series 65, Series 63, Series 31, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Geoff Bruce Sargeant | Geoffrey B Sargeant
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.
Guidepoint is the name of the business. The business is not investment related. Guidepoint's Address is: 675 Avenue of the Americas, New York, NY 10010 Guidepoint is a research enablement platform designed to accelerate opportunity by connecting leading organizations with expertise across sectors and geographies. My position is a consultant The start date is 5/6/2025. I will be working 1-2 hours per month during securities trading hours. I will be a consultant working with asset and wealth management firms who are evaluating technology platforms.
CRS (Client Relationship Summary) - RIA
Click below to view Geoffrey Bruce Sargeant's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Geoffrey Bruce Sargeant's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2007
Experience
Current
October 20, 2025 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Ave. 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Current
October 20, 2025 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Avenue 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Past
October 14, 2024 - October 15, 2025
SAN BLAS SECURITIES LLC
BD
CRD#: 290605
CHICAGO, IL
Past
October 10, 2024 - October 15, 2025
SB ADVISORY, LLC
RIA
CRD#: 154680
Summit, NJ
Past
January 31, 2023 - April 3, 2023
MARINER WEALTH
RIA
CRD#: 140195
MADISON, NJ
Past
March 11, 2022 - January 9, 2023
LAZARD ASSET MANAGEMENT LLC
RIA
CRD#: 122836
NEW YORK, NY
Past
March 11, 2022 - January 9, 2023
LAZARD ASSET MANAGEMENT SECURITIES LLC
BD
CRD#: 129119
NEW YORK, NY
Past
November 26, 2018 - March 10, 2022
CALAMOS WEALTH MANAGEMENT LLC
RIA
CRD#: 143490
New York, NY
Past
November 26, 2018 - March 10, 2022
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
New York, NY
Past
September 16, 2014 - November 13, 2018
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
September 16, 2014 - November 13, 2018
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
May 9, 2014 - September 12, 2014
CITY NATIONAL ROCHDALE
RIA
CRD#: 117198
NEW YORK, NY
Past
May 9, 2014 - September 12, 2014
CNR SECURITIES, LLC
BD
CRD#: 18466
NEW YORK, NY
Past
October 25, 2006 - September 12, 2014
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
NEW YORK, NY
Past
May 28, 2004 - July 17, 2006
FCG ADVISORS, LLC
RIA
CRD#: 40633
CHATHAM, NJ
Past
September 29, 2003 - July 17, 2006
FCG ADVISORS, LLC
BD
CRD#: 40633
CHATHAM, NJ
Past
June 14, 2001 - September 24, 2003
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
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".
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/20/2025)
RR
California(10/20/2025)
RR
Connecticut(10/20/2025)
RR
Florida(10/20/2025)
RR
Illinois(10/20/2025)
RR
Maryland(10/20/2025)
RR
Massachusetts(10/20/2025)
RR
Michigan(10/20/2025)
RR
Nevada(10/20/2025)
RR
New Jersey(10/20/2025)
IAR
New Jersey(10/20/2025)
RR
New York(10/20/2025)
IAR
New York(10/20/2025)
RR
North Carolina(10/20/2025)
RR
Pennsylvania(10/20/2025)
RR
Rhode Island(10/20/2025)
RR
South Carolina(10/20/2025)
RR
Tennessee(10/20/2025)
RR
Virginia(10/20/2025)
RR
Wisconsin(10/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Mailing Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Phone number
(212) 393-4500
Established
Delaware since 04/05/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINARI FINANCIAL, INC. | OWNER | |
| CAMPBELL, ROBERT NMN | FINOP | 1349154 |
| DEIGNAN, EDWARD PHILIP JR | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4597976 |
| MERCADO, JAIME | CHIEF COMPLIANCE OFFICER, AMLCO | 2863760 |
| NEWMAN, ERIC | EVP/ROP | 2509259 |
| WILLIAMS, JOHN MARSHALL | COMPLIANCE OFFICER | 2833948 |
| WOOL, KYLE MICHAEL | CEO/ PRESIDENT | 4238101 |
Regulatory assets under management
| Total Number of Accounts | 235 |
| AUM (Assets Under Management) | $ 41,647,787 |
Disclosures
| Regulatory Event | 5 |
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.
