Sara J. Mongno

SARGENT INVESTMENT GROUP

Bethesda, MD 20814

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CRD#: 7268832

Professional summary

Sara Jane Mongno, who also goes by Sara Mongno, is a registered financial advisor currently at SARGENT INVESTMENT GROUP located in Bethesda, Maryland.

Sara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Sara has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sara Mongno

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) - RIA

Click below to view Sara Jane Mongno'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

January 13, 2026 - Present

SARGENT INVESTMENT GROUP

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

RIA

CRD#: 297499

Bethesda, MD

Past

September 7, 2020 - June 24, 2024

WELLS FARGO SECURITIES, LLC

CRD#: 126292

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
(1/13/2026)

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: 1/13/2026

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/28/2021

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 9/5/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 5/23/2020

Securities Industry Essentials 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 (2/13/2026)

Regulatory assets under management

Total Number of Accounts	1,381
AUM (Assets Under Management)	$ 1,475,799,413

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

Sara J. Mongno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sara Jane Mongno's CRS (Customer Relationship Summary).

Certified licenses

Experience

SARGENT INVESTMENT GROUP

WELLS FARGO SECURITIES, LLC

Primary Firm SEC Registration

SARGENT INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2026

Series 63

Date: 8/7/2020

Series 7TO

Date: 3/28/2021

Series 79TO

Date: 9/5/2020

SIE

Date: 5/23/2020

Current Firm

SARGENT INVESTMENT GROUP

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SARGENT INVESTMENT GROUP

TRUST BUT VERIFY

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