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TS

Thomas B. Sargeant

BAIN CAPITAL MARKETS
London, W1J 8AJ
Some features on this profile are disabled
CRD#: 6488838
TS

Professional summary

Thomas Benjamin Sargeant, who also goes by Thomas Sargeant, is a registered financial professional currently at BAIN CAPITAL MARKETS, LLC .

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2016. Thomas has worked at 1 firm and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas 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 Thomas Benjamin Sargeant'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 5, 2016 - Present

BAIN CAPITAL MARKETS, LLC

Office #1: Devonshire House Mayfair Place, London, W1J 8AJ
BD
CRD#: 175456
London,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BAIN CAPITAL MARKETS, LLC
BAIN CAPITAL DISTRIBUTORS, LLC | ST. JAMES FUND DISTRIBUTORS, LLC | BAIN CAPITAL MARKETS, LLC

CRD#: 175456 / SEC#: , 8-69599

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

Main Address
200 Clarendon Street, Boston, MA 02116
Mailing Address
200 Clarendon Street, Boston, MA 02116
Phone number
(617) 516-2318
Established
Delaware since 02/03/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BCFD, LLCSOLE MEMBER
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
FORTINO, ROBERT ANTHONYPRINCIPAL FINANCIAL OFFICER1905741
GAGE, CHRISTINE HOGANCHIEF COMPLIANCE OFFICER6469017
GLICK, STEVENCO-PRESIDENT2911274
MCARDLE, MICHAEL PATRICKCO-PRESIDENT6466234

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

BAIN CAPITAL MARKETS, LLC

CRD#: 175456London, W1J 8AJ

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