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Christopher Smith Sargent

Sargent Investment Group

Bethesda, MD

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Current Employers
Sargent Investment Group

4920 Elm Street Suite 305, Bethesda, MD 20814 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-09-21
MD RA APPROVED 2018-08-03
  • TX RA
    APPROVED_RES
    Since 2018-09-21
  • MD RA
    APPROVED
    Since 2018-08-03

Branch Locations

4920 Elm Street Suite 305, Bethesda, MD 20814 • 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
Wells Fargo Advisors Llc Washington DC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 08/2018
Sargent Investment Group Llc Bethesda MD 08/2018 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Washington, DC
  • 11/2016 → 08/2018
    Wells Fargo Clearing Services, Llc
    Washington, DC
  • 08/2018 → Present
    Sargent Investment Group Llc
    Bethesda, MD
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-19
S63 Uniform Securities Agent State Law Examination 1983-12-03
  • S65 Uniform Investment Adviser Law Examination
    1996-04-19
  • S63 Uniform Securities Agent State Law Examination
    1983-12-03
Other Names
  • Chris Sargent

View on SEC IAPD

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Other Offices

LGG FINANCIAL · BETHESDA, MD
BLUE SPARROW FUNDS GP LLC · BETHESDA, MD
KALAMATA ASSET MANAGEMENT LLC · BETHESDA, MD
GLASSY MOUNTAIN ADVISORS, INC. · BETHESDA, MD
NOORDZEE CAPITAL LLC · BETHESDA, MD
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BETHESDA, MD
HIGHTOWER ADVISORS, LLC · BETHESDA, MD
GOLDEN WEALTH STRATEGIES · Bethesda, MD

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