AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DM

Diane Maroukian

SOVEREIGN GLOBAL ADVISORS LLC
Annandale, NJ 08801
Some features on this profile are disabled
CRD#: 1348901
DM

Professional summary

Diane Maroukian is a registered financial professional currently at SOVEREIGN GLOBAL ADVISORS LLC located in Annandale, New Jersey.

Diane is registered as a RR (Registered Representative) and started their career in finance in 1985. Diane has worked at 9 firms and has passed the Series 63, SIE and Series 7 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.
1)LIFE VALUE PLANNING;GROUP HEALTH INSURANCE, Life,DISABILITY AND LONG TERM CARE INSURANCE; NOT INVESTMENT RELATED; 460 W Main Street, Chester, NJ 07930; SELLING HEALTH INSURANCE, DISABILITY AND LONG TERM CARE WHICH PROMOTES THE SALE OF LIFE AND INVESTMENTS; SELF; 03/01/1984; 120 HOURS/MONTH; 85 DURING SECURITIES TRADING HOURS; IF RENEWAL RATES GO UP, THEN I SEARCH FOR ANOTHER PLAN THAT OFFERS COVERAGE AT AN AFFORDABLE RATE.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diane Maroukian'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

June 15, 2023 - Present

SOVEREIGN GLOBAL ADVISORS LLC

Office #1: 67 Beaver Ave Suite 21, Annandale, NJ 08801
RIA
BD
CRD#: 167663
Annandale, NJ
Past

March 12, 2019 - April 24, 2023

PACKERLAND BROKERAGE SERVICES, INC.

RIA
CRD#: 37031
Annandale, NJ
Past

March 11, 2019 - April 24, 2023

PACKERLAND BROKERAGE SERVICES, INC.

BD
CRD#: 37031
Annandale, NJ
Past

May 7, 2010 - March 6, 2019

ON INVESTMENT MANAGEMENT CO

RIA
CRD#: 105662
BOUND BROOK, NJ
Past

May 7, 2010 - March 6, 2019

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Chester, NJ
Past

February 16, 2010 - May 7, 2010

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
CRANFORD, NJ
Past

February 16, 2010 - May 7, 2010

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
CRANFORD, NJ
Past

July 15, 2009 - March 9, 2010

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
CRANFORD, NJ
Past

April 14, 2009 - March 9, 2010

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

February 25, 2003 - January 28, 2009

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
CRANFORD, NJ
Past

May 3, 1999 - January 28, 2009

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

March 6, 1987 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

May 21, 1985 - February 14, 1987

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Past

April 20, 1985 - January 5, 1987

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158

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
Florida
(6/15/2023)
RR
New Jersey
(6/15/2023)
RR
New York
(6/15/2023)
RR
Pennsylvania
(6/15/2023)
RR
Virginia
(6/15/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/1985
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: 4/20/1985
General Securities Representative 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 167663Annandale, NJ 08801

TRUST BUT VERIFY

Monitor Diane Maroukian

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Anderson
David AndersonAdvisorCheck Check Mark
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
IAR
RR
Newburgh, IN
Eric Joseph Berner
Eric BernerAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
HENDERSONVILLE, TN
MW
Moira WilkinsAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
RR
Moline, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics