Donald L. Sazdanoff

SOVEREIGN ASSET MANAGEMENT

Lexington, OH

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CRD#: 1081733

Professional summary

Donald Louis Sazdanoff is a registered financial advisor currently at SOVEREIGN ASSET MANAGEMENT located in Lexington, Ohio.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Donald has worked at 4 firms and has passed the Series 66, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Louis Sazdanoff's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 5, 2006 - Present

SOVEREIGN ASSET MANAGEMENT

RIA

CRD#: 108305

Lexington, OH

Past

July 18, 1988 - April 7, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 15, 1988 - July 28, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 22, 1982 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(9/13/2016)

IAR

Ohio
(12/5/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/23/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/3/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/7/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Current Firm

SOVEREIGN ASSET MANAGEMENT

SAZDANOFF DONALD LOUIS | SOVEREIGN ASSET MANAGEMENT

CRD#: 108305 / SEC#: 801-68573

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Louisiana

Registered Investment Advisory firm - (9/12/2016 Approved)

Ohio

Registered Investment Advisory firm - (6/26/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Lexington, OH

Mailing Address

Phone number

(419) 884-8309

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	137
AUM (Assets Under Management)	$ 53,024,560

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Donald L. Sazdanoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Louis Sazdanoff's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN ASSET MANAGEMENT

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2002

Series 63

Date: 1/3/1983

Series 3

Date: 1/7/1983

Series 7

Date: 12/18/1982

Current Firm

SOVEREIGN ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN ASSET MANAGEMENT

TRUST BUT VERIFY

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