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ROBERT MICHAEL SARGENT
ROBERT M SARGENT
CRD#: 5050772
IA
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ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 12500 Fair Lakes Circle
Suite 325
Fairfax, VA 22033
Suite 325
Fairfax, VA 22033
0
Disclosures
15
Years of Experience
View By:
State Registrations
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Texas 10/10/2024
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Virginia 10/10/2024
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Registered with this firm since 10/10/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/01/2018 - 11/08/2024 | ASHBURN, VA | |
IA | 05/01/2014 - 11/01/2018 | ALEXANDRIA, VA | |
B | 04/22/2016 - 10/31/2018 | ASHBURN, VA | |
B | 05/01/2014 - 04/22/2016 | ALEXANDRIA, VA | |
IA | 03/01/2012 - 04/23/2014 | ALEXANDRIA, VA | |
B | 02/29/2012 - 04/22/2014 | ALEXANDRIA, VA | |
IA | 06/24/2010 - 02/01/2012 | VIENNA, VA | |
B | 05/24/2010 - 02/01/2012 | VIENNA, VA | |
B | 03/03/2008 - 03/16/2009 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.