Brian D. Mcgregor

SARGENT INVESTMENT GROUP

Bethesda, MD 20814

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CRD#: 4694197

Professional summary

Brian Douglas Mcgregor is a registered financial advisor currently at SARGENT INVESTMENT GROUP located in Bethesda, Maryland.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brian has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Washington Home - Charitable Foundation - Hospice care. 1875 Connecticut Ave. Suite 540, Washington, DC. 20009 Board Member and Investment Committee Member. August, 2016. 4 hours monthly time commitment, 2 of those during business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Douglas Mcgregor's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 3, 2018 - Present

SARGENT INVESTMENT GROUP

Office #1: 4920 Elm Street Suite 305, Bethesda, MD 20814

RIA

CRD#: 297499

Bethesda, MD

Past

October 2, 2014 - August 7, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WASHINGTON, DC

Past

September 19, 2014 - August 7, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WASHINGTON, DC

Past

July 14, 2014 - October 7, 2014

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

WASHINGTON, DC

Past

May 17, 2013 - October 7, 2014

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

WASHINGTON, DC

Past

September 25, 2008 - September 21, 2011

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

November 12, 2003 - February 4, 2008

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

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".

SARGENT INVESTMENT GROUP

MOSELEY INVESTMENTS, LLC | SARGENT INVESTMENT GROUP, LLC | SARGENT INVESTMENT GROUP

CRD#: 297499 / SEC#: 801-113542

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(8/3/2018)

IAR

Texas
(8/24/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/3/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/13/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/3/2003

General Securities Representative Examination

Current Firm

SARGENT INVESTMENT GROUP

MOSELEY INVESTMENTS, LLC | SARGENT INVESTMENT GROUP, LLC | SARGENT INVESTMENT GROUP

CRD#: 297499 / SEC#: 801-113542

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

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Contact information

Main Address

4920 Elm Street Suite 305, Bethesda, MD 20814

Mailing Address

Phone number

(202) 580-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM DISCLOSURE BROCHURE 2A (4/25/2025)

Regulatory assets under management

Total Number of Accounts	1,258
AUM (Assets Under Management)	$ 1,282,044,465

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/23/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Brian D. Mcgregor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Douglas Mcgregor's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

B. RILEY SECURITIES, INC.

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

SARGENT INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/3/2014

Series 63

Date: 11/5/2003

SIE

Date: 8/7/2018

Series 55

Date: 9/13/2005

Series 7

Date: 11/3/2003

Current Firm

SARGENT INVESTMENT GROUP

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SARGENT INVESTMENT GROUP

TRUST BUT VERIFY

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