John C. Dady
Professional summary
John Christian Dady, who also goes by John C Dady, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Hudson, New York.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. John has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Christian Dady's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2021 - Present
SOVEREIGN FINANCIAL GROUP, INC.
August 27, 2010 - November 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - September 13, 2010
MORGAN STANLEY
February 25, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 10, 2001 - March 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 1998 - March 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 1996 - May 6, 1998
UBS FINANCIAL SERVICES INC.
December 23, 1993 - March 8, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SOVEREIGN FINANCIAL GROUP, INC.
CRD#: 294314 / SEC#: 801-114529
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/28/2021)
(1/22/2021)
Exams
Current Firm
SOVEREIGN FINANCIAL GROUP, INC.
CRD#: 294314 / SEC#: 801-114529
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,304 |
| AUM (Assets Under Management) | $ 882,702,145 |
Red Flags
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