Jeffrey Sargent

Chief Compliance Officer

(P) 860-310-1713

BrokerCheck by FINRA

Jeffrey Sargent is the Chief Compliance Officer for Northstar Wealth Partners, where he serves as the primary supervisor ensuring the smooth operation of the company’s Registered Investment Advisor, as well as setting and maintaining systems and processes that allow the firm to meet all FINRA and SEC requirements.  In addition, Jeff serves as a resource for the firm’s Wealth Advisors and Partners providing guidance and training, while fostering the development of ongoing innovations that allow the firm to achieve excellence in compliance implementation and support.  He was drawn to Northstar by the quality of the people, in both managerial and wealth advisory roles.  Jeff has experienced first-hand the desire and commitment of the firm to exceed client expectations and deliver a customized experience to all those they serve.  He feels fortunate to be a member of the Northstar team.

Jeff has just under twenty years of compliance experience, most recently serving as the Chief Compliance and Administrative Officer for Westport Resources Management & Investment Services.  He has also been affiliated in a compliance capacity with such respected firms as Robotti & Company in New York, Principal Financial in Norwalk, Insight Financial Strategies in Norwalk, and AXA Advisors in Stamford.  His affiliation with Northstar Wealth Partners, powered by LPL Financial, further enhances the top-shelf resources and spectrum of compliance solutions he and the Northstar team deliver to their clients nationwide.

Jeff attended Fairfield University, where he pursued his bachelor’s degree in Finance.  He also holds his FINRA Series 7, 24, 53, 4, 9, 10, 53 and 63 through LPL Financial and the 65 registration through Northstar Wealth Partners.  In his free time, Jeff is a competitive Masters Swimmer, and is a world record holder in his age bracket in the 4 x 200 relay. A competitive swimmer all his life, Jeff is also an enthusiastic spectator at the meets of his two daughters, Elizabeth, a senior at Seton Hall University and Caroline, a sophomore at the University of Maryland, Baltimore County.  He and his wife, Margaret, reside in Trumbull, Connecticut.


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