John H. Sargent
ROCKEFELLER FINANCIAL LLC | Managing Director, Private Wealth Advisor
Stamford, CT 06902
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CRD#: 4689890
Professional summary
John Harrison Sargent, who also goes by John Harrrison Sargent, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Stamford, Connecticut and ROCKEFELLER CAPITAL MANAGEMENT located in Stamford, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. John has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Philanthropic services
Trading individual securities
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
20M
Are you a "fiduciary"?
Yes
Aliases
John Harrrison Sargent
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.
CRS (Client Relationship Summary) - RIA
Click below to view John Harrison Sargent's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Harrison Sargent'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®
NoneExperience
Current
February 24, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902RIA
BD
CRD#: 291361
Stamford, CT
Current
February 22, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902RIA
CRD#: 294197
Stamford, CT
Current
February 21, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902RIA
BD
CRD#: 291361
Stamford, CT
Past
June 1, 2009 - February 26, 2020
MORGAN STANLEY
RIA
CRD#: 149777
GREENWICH, CT
Past
June 1, 2009 - February 26, 2020
MORGAN STANLEY
BD
CRD#: 149777
GREENWICH, CT
Past
December 14, 2005 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEW YORK, NY
Past
October 21, 2003 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
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".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)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(2/21/2020)
RR
Alaska(4/3/2023)
RR
Arizona(4/3/2023)
RR
California(2/21/2020)
RR
Colorado(2/21/2020)
RR
Connecticut(2/21/2020)
IAR
Connecticut(6/29/2021)
RR
Delaware(2/21/2020)
RR
District of Columbia(2/21/2020)
RR
Florida(2/21/2020)
RR
Georgia(2/21/2020)
RR
Illinois(2/21/2020)
RR
Kentucky(4/3/2023)
RR
Maryland(2/21/2020)
RR
Massachusetts(2/21/2020)
RR
Michigan(3/23/2020)
RR
Minnesota(2/21/2020)
RR
Montana(2/21/2020)
RR
Nevada(4/3/2023)
RR
New Jersey(2/21/2020)
RR
New Mexico(10/17/2025)
RR
New York(2/24/2020)
RR
North Carolina(2/21/2020)
RR
Ohio(2/21/2020)
RR
Oregon(2/21/2020)
RR
Pennsylvania(2/21/2020)
RR
Rhode Island(2/21/2020)
RR
South Carolina(2/21/2020)
RR
South Dakota(2/21/2020)
RR
Tennessee(2/21/2020)
RR
Texas(2/21/2020)
IAR
Texas(2/1/2021)
RR
Vermont(9/13/2021)
RR
Virginia(2/21/2020)
RR
Washington(2/21/2020)
RR
Wisconsin(2/21/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Managing Director, Private Wealth AdvisorCRD#: 291361Stamford, CT 06902TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
