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JA

Jason L. Apter

SOVEREIGN GLOBAL ADVISORS LLC
Denver, CO 80246
Some features on this profile are disabled
CRD#: 1267475
JA

Professional summary

Jason Lawrence Apter is a registered financial professional currently at SOVEREIGN GLOBAL ADVISORS LLC located in Denver, Colorado.

Jason is registered as a RR (Registered Representative) and started their career in finance in 1984. Jason has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Jason Lawrence Apter's CRS (Customer Relationship Summary).
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

November 9, 2018 - Present

SOVEREIGN GLOBAL ADVISORS LLC

Office #1: 501 S Cherry Street 11th Floor, Denver, CO 80246
RIA
BD
CRD#: 167663
Denver, CO
Past

January 21, 2015 - October 2, 2018

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
Summit, NJ
Past

October 3, 1988 - January 26, 2015

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
SUMMIT, NJ
Past

June 13, 1988 - October 4, 1988

DOMIK CORP.

BD
CRD#: 223
Past

December 23, 1985 - June 20, 1988

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

May 22, 1984 - December 5, 1985

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(11/9/2018)
RR
Connecticut
(11/9/2018)
RR
Florida
(11/9/2018)
RR
Kentucky
(11/9/2018)
RR
Maryland
(11/9/2018)
RR
Michigan
(6/3/2019)
RR
New Jersey
(11/9/2018)
RR
New York
(11/9/2018)
RR
Pennsylvania
(11/9/2018)
RR
Washington
(11/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/25/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/10/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/3/1999
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

SG
SOVEREIGN GLOBAL ADVISORS LLC
DRAGOTTA, JOHN | SOVEREIGN GLOBAL ADVISORS, LLC | SOVEREIGN GLOBAL ADVISORS LLC

CRD#: 167663 / SEC#: , 8-69274

California
Registered Investment Advisory firm - SEC (10/13/2022 Approved)
Colorado
Registered Investment Advisory firm - SEC (8/19/2023 Approved)
Florida
Registered Investment Advisory firm - SEC (4/11/2023 Approved)
New Jersey
Registered Investment Advisory firm - SEC (9/2/2016 Approved)
New York
Registered Investment Advisory firm - SEC (3/30/2016 Approved)
Texas
Registered Investment Advisory firm - SEC (7/2/2020 Approved)
Virginia
Registered Investment Advisory firm - SEC (4/12/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
501 S Cherry Street 11th Floor, Denver, CO 80246
Mailing Address
501 S Cherry Street 11th Floor, Denver, CO 80246
Phone number
(866) 790-9700
Established
New York since 03/18/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ADAPT HOLDING COMPANYDIRECT OWNER
DRAGOTTA, JOHN ANGELO JRCEO, INVESTMENT ADVISOR CCO3045806
MOHNEY, BRIAN EUGENECCO/FINOP2890043

Regulatory assets under management

Total Number of Accounts11
AUM (Assets Under Management)$ 3,583,152

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.

Company Information

SOVEREIGN GLOBAL ADVISORS LLC

CRD#: 167663Denver, CO 80246

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