Christopher J. 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.
Christopher J Sargent, who also goes by Christopher James Sargent, Christopher Sargent, Chris Sargent, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2013. Christopher had worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2019 - April 16, 2021
PATRICK CAPITAL MARKETS, LLC
January 24, 2018 - July 31, 2019
CENTER STREET ADVISORS, INC.
March 13, 2017 - July 31, 2019
CENTER STREET SECURITIES, INC.
January 24, 2017 - February 8, 2017
NEWBRIDGE SECURITIES CORPORATION
August 4, 2015 - August 1, 2016
PREFERRED CAPITAL SECURITIES, LLC
January 20, 2015 - August 3, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
October 1, 2013 - January 26, 2015
HLH SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 4/24/2024
General Securities Representative ExaminationCurrent Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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