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GS

Geoffrey B. Sargeant

M.M. DILLON & CO.
GREENWICH, CT 06830
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 professional currently at M.M. DILLON & CO. LLC located in Greenwich, Connecticut.

Geoffrey is registered as a RR (Registered Representative) and started their career in finance in 2001. Geoffrey has worked at 15 firms and has passed the Series 65, Series 63, Series 31, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

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®

Certified Financial Planner

Start date: 2007

Experience

Current

March 24, 2026 - Present

M.M. DILLON & CO. LLC

Office #1: One Sound Shore Drive Suite 103, Greenwich, CT 06830
BD
CRD#: 19878
GREENWICH, CT
Past

October 20, 2025 - March 23, 2026

DOMINARI SECURITIES LLC

RIA
CRD#: 18975
NEW YORK, NY
Past

October 20, 2025 - March 23, 2026

DOMINARI SECURITIES LLC

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

RBC ROCHDALE, LLC

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

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/24/2026)
RR
Florida
(3/24/2026)
RR
New York
(3/24/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/28/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/26/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 7/8/2022
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/12/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MD
M.M. DILLON & CO. LLC
C.E. PFEIFER & CO., INC. | M.M. DILLON & CO. LLC | C.E. PFEIFER LLC

CRD#: 19878 / SEC#: , 8-37893

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Sound Shore Drive Suite 103, Greenwich, CT 06830
Mailing Address
One Sound Shore Drive Suite 103, Greenwich, CT 06830
Phone number
(203) 569-6800
Established
Delaware since 03/26/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
C. E. PFEIFER HOLDINGS, LLCHOLDING COMPANY
MCCARTY, MICHIEL CLEVECHAIRMAN & CEO1061313
ESPINAL, MICHAELCHIEF COMPLIANCE OFFICER1947563

Disclosures

Regulatory Event2

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.

Company Information

M.M. DILLON & CO. LLC

CRD#: 19878Greenwich, CT 06830

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