Thaddeus James Sargent

Current Employers

Employment History

• 10/2009 → 04/2025
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Huntersville, NC
• 06/2011 → 04/2025
  Bank Of America,N.A.
  Huntersville, NC
• 04/2025 → Present
  Aegis Capital Corp
  Hilton Head Island, SC

Previous Registrations

• 2009-10-23 → 2025-05-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Huntersville, NC
  Charlotte, NC
  Davidson, NC
  Huntersville, NC
  Hilton Head Island, SC
• 2000-02-10 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Davidson, NC
  Huntersville, NC
  Huntersville, NC

Other Businesses

1) For profit or not for profit: For-Profit Organization Name of outside business organization: Smoker Flight Aviation Investment related: N Address of business: Jamestown, North Carolina 28272 Nature of business: LLC, Position, title, association: Participant, Start date of relationship: 1/1/2011 Number of hours devoted: 20 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: A weekend airshow demonstration team the url http://teamaerodynamix.com 2) For profit or not for profit: For-Profit Organization Name of outside business organization: Plane 2 Sea LLC Investment related: N Address of business: Cornelius, North Carolina 28031 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 10/27/2019 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Rental/Charter yacht for hire 3. Hilton Head Concours d'Elegance and Motoring Festival, 1 Cardinal Ct. Ste 16, Hilton Head Is, SC 29926; Not Investment Related; General Board Member, No Compensation; Start date: 10-01-2025; 6 Hours per month devoted to business; 0 hours during securities trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-03-22
• S63 Uniform Securities Agent State Law Examination
  1988-09-26

Other Names

• Tad Sargent
• Wilson Sargent