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RIA / WealthAdvisor37 years in industry

Thaddeus James Sargent

Advisor at AEGIS CAPITAL CORP.

MELVILLE, NY | Hilton Head Island, SC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ddabced-cfe9-fcf5-325a-573018d0ff4e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 10, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AEGIS CAPITAL CORP.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 26, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Sep 26, 1988
First registration: Feb 10, 2000
Dual registered: no
Other names: TAD SARGENT|WILSON SARGENT
IAPD individual key: 1855200

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AEGIS CAPITAL CORP.	Bd affiliated wealth	Apr 17, 2025	n/a	yes	Hilton Head Island, SC\|MELVILLE, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	May 14, 2025	no	HUNTERSVILLE, NC\|CHARLOTTE, NC\|DAVIDSON, NC\|HUNTERSVILLE, NC\|Hilton Head Island, SC	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Feb 10, 2000	Oct 23, 2009	no	DAVIDSON, NC\|HUNTERSVILLE, NC\|HUNTERSVILLE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AEGIS CAPITAL CORP.	May 14, 2025	Apr 17, 2025	-27	Firm change	Wirehouse to ibd
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (3)

→ AEGIS CAPITAL CORP.Registered adviserregistration: current employment
Apr 17, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to May 14, 2025factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Feb 10, 2000 to Oct 23, 2009factForm ADV

Dated events

Occurred
May 14, 2025
Advisor changed firm
Thaddeus James Sargent left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Aegis Capital Corp. (registered 2025-04-17)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ddabced-cfe9-fcf5-325a-573018d0ff4e
First observed: Feb 10, 2000
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Thaddeus James Sargent

Advisor at AEGIS CAPITAL CORP.

MELVILLE, NY | Hilton Head Island, SC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ddabced-cfe9-fcf5-325a-573018d0ff4e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:45 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

AEGIS CAPITAL CORP.

Bd affiliated wealth

Apr 17, 2025

n/a

yes

Hilton Head Island, SC|MELVILLE, NY

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Oct 23, 2009

May 14, 2025

HUNTERSVILLE, NC|CHARLOTTE, NC|DAVIDSON, NC|HUNTERSVILLE, NC|Hilton Head Island, SC

Previous registration

BANC OF AMERICA INVESTMENT SERVICES, INC.

n/a

Feb 10, 2000

Oct 23, 2009

DAVIDSON, NC|HUNTERSVILLE, NC|HUNTERSVILLE, NC

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AEGIS CAPITAL CORP.

May 14, 2025

Apr 17, 2025

-27

Firm change

Wirehouse to ibd

BANC OF AMERICA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Oct 23, 2009

Bulk transfer

Other