Marshall Eichenauer has been President/Chief Compliance Officer of Sagent Wealth Management since August 2008, is a control person of the firm and directly owns under 5% of it. Marshall Eichenauer holds a Bachelor of Science in Business Finance from Arizona State University.
Sagent Wealth Management is a Laguna Beach, CA firm with $100M under management, 82 clients and 2 advisers in one office, as of its July 2026 filing.
Marshall Eichenauer Jr. is Investment Advisor, Owner of Sagent Wealth Management. He began working in finance at Shearson Lehman Brothers in 1993 and moved to PaineWebber in 1996, which UBS Financial Services, Inc. purchased in 2000. He was later named a Senior Vice President-Investments and formed Sagent Wealth Management in 2008.
Marshall Eichenauer’s longest registration was 11 years at UBS Financial Services Inc. (1997–2008). Before joining Sagent Wealth Management in 2017, Marshall Eichenauer was registered through UBS Financial Services Inc.
- Sagent Wealth ManagementCurrent– present · 9 yearsLaguna Beach, CA · Adviser representative · Firm CRD 147890
- UBS Financial Services Inc.– · 11 yearsNewport Beach, CA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Marshall Eichenauer is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in May 2017.
- CaliforniaSince 23 May 2017
- TexasResidentSince 26 May 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 26 March 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 April 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 April 1993 |
| Series 7 | General Securities Representative Examination | 5 April 1993 |
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Marshall Glen Eichenauer
- CRD
- 2333062
- Firm
- Sagent Wealth Management · CRD 147890
- Role
- President/Chief Compliance Officer
- Office
- 1489 GLENNEYRE STREET, Laguna Beach, CA 92651
- Registration
- Investment adviser registration
- In the industry since
- August 1994
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- sagentwm.com
Where does Marshall Eichenauer work?
Marshall Eichenauer has been President/Chief Compliance Officer of Sagent Wealth Management since August 2008, and is a control person of the firm.
Is Marshall Eichenauer a financial advisor?
Yes. Marshall Eichenauer has a current investment-adviser registration in California and Texas, through Sagent Wealth Management since May 2017.
How many years of experience does Marshall Eichenauer have?
Marshall Eichenauer has 32 years in the financial industry, since August 1994, across 2 adviser firms.
What exams has Marshall Eichenauer passed?
Marshall Eichenauer has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in April 1993.
Where did Marshall Eichenauer work before Sagent Wealth Management?
Before Sagent Wealth Management, Marshall Eichenauer was registered through UBS Financial Services Inc., July 1997 to September 2008.
Where is Marshall Eichenauer based?
Marshall Eichenauer’s registered office is in Laguna Beach, CA.
Is Marshall Eichenauer registered with FINRA?
No. Marshall Eichenauer has no current broker registration.
How can I verify Marshall Eichenauer’s record?
Search CRD 2333062 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Marshall Eichenauer’s full registration record.