John F. Mendrysa

SGROI WEALTH

ALBANY, NY 12207

Some features on this profile are disabled

CRD#: 2492930

Professional summary

John Francis Mendrysa is a registered financial advisor currently at SGROI WEALTH located in Albany, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. John has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.

1. 12/12/2007 - DBA ONLY - CAPITAL WEALTH MANAGEMENT OF NEW YORK - EAST GREENBUSH, NY. 2. 11/30/2012 - NON-VARIABLE INSURANCE - CFK LIFE PLANS - LONG TERM CARE SALES - TIME SPENT 1% - EAST GREENBUSH, NY. 3. 11/30/2012 - NON-VARIABLE INSURANCE - SECURITY MUTUAL INSURANCE CO. - LIFE INSURANCE SALES. - TIME SPENT 1% - EAST GREENBUSH, NY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Francis Mendrysa'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

February 11, 2025 - Present

SGROI WEALTH

Office #1: 368 Broadway First Floor, Albany, NY 12207

RIA

CRD#: 324281

ALBANY, NY

Past

October 5, 2010 - January 9, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

SCHENECTADY, NY

Past

June 8, 2007 - January 9, 2025

LPL FINANCIAL LLC

CRD#: 6413

SCHENECTADY, NY

Past

May 5, 2000 - June 18, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ALBANY, NY

Past

January 6, 2000 - May 25, 2000

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

April 17, 1998 - December 31, 1999

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

July 11, 1994 - February 13, 1998

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SGROI WEALTH

BROADWAY ADVISOR GROUP, LLC | SGROI WEALTH

CRD#: 324281 / SEC#: 801-127086

RIA

Registered Investment Advisory firm - (12/21/2022 Approved)

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

New York
(2/11/2025)

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

Series 63

Date: 7/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/10/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SGROI WEALTH

BROADWAY ADVISOR GROUP, LLC | SGROI WEALTH

CRD#: 324281 / SEC#: 801-127086

RIA

Registered Investment Advisory firm - (12/21/2022 Approved)

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

368 Broadway First Floor, Albany, NY 12207

Mailing Address

Phone number

(518) 477-3626

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - BROADWAY ADVISOR GROUP, LLC DBA SGROI WEALTH (6/11/2025)

BROADWAY ADVISOR GROUP, LLC DBA SGROI WEALTH WRAP PROGRAM (3/24/2025)

Regulatory assets under management

Total Number of Accounts	644
AUM (Assets Under Management)	$ 166,642,518

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Nichole Raftopoulos

NVEST FINANCIAL, LLC

IAR

Portland, ME

Douglas Kelly

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Latham, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John F. Mendrysa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Francis Mendrysa's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

WADDELL & REED

LEIGH BALDWIN & CO., LLC

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

SGROI WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/10/2000

Series 6

Date: 7/8/1994

Current Firm

SGROI WEALTH

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SGROI WEALTH

TRUST BUT VERIFY

Contact information

Similar Advisors