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Timothy James Sargent

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Chicago , IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-05-01
IL RA APPROVED 2018-02-22
  • TX RA
    APPROVED
    Since 2018-05-01
  • IL RA
    APPROVED
    Since 2018-02-22

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

110 N Wacker Dr , Chicago , IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rolling Meadows IL 02/2016 Present
Bank Of America, N.A. Rolling Meadows IL 05/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-21
S63 Uniform Securities Agent State Law Examination 2016-05-16
  • S66 Uniform Combined State Law Examination
    2018-02-21
  • S63 Uniform Securities Agent State Law Examination
    2016-05-16
Other Names
  • Timothy Sargent
  • Tim Sargent
  • Timothy J Sargent

View on SEC IAPD

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KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
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