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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thaddeus? Claim Your ProfileThaddeus Sargent is a registered investment advisor with over 35 years of experience in the financial industry. Thaddeus Sargent is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 2009. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. Thaddeus Sargent was with BANC OF AMERICA INVESTMENT SERVICES, INC. and NATIONSSECURITIES. Thaddeus Sargent holds Series 7, Series 63, and Series 65 licenses. Thaddeus Sargent specializes in providing financial advice to individuals, corporations, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
09/25/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HUNTERSVILLE NC)
NC
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DAVIDSON NC)
NA
10/21/1996 - 01/01/1998
NATIONSSECURITIES
NY
08/23/1988 - 11/07/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 03/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/26/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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