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KP

Kraig B. Pivnick

SOVEREIGN GLOBAL ADVISORS LLC
Denver, CO 80246
Some features on this profile are disabled
CRD#: 3043331
KP

Professional summary

Kraig Barrence Pivnick is a registered financial professional currently at SOVEREIGN GLOBAL ADVISORS LLC located in Denver, Colorado.

Kraig is registered as a RR (Registered Representative) and started their career in finance in 1998. Kraig has worked at 8 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kraig Barrence Pivnick'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

December 18, 2017 - Present

SOVEREIGN GLOBAL ADVISORS LLC

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

May 7, 2012 - December 20, 2017

AMERICAN CAPITAL PARTNERS, LLC

BD
CRD#: 119249
HAUPPAUGE, NY
Past

March 28, 2008 - May 17, 2012

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
SMITHTOWN, NY
Past

March 1, 2007 - March 24, 2008

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MELVILLE, NY
Past

January 5, 2006 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

June 30, 2003 - December 9, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

October 21, 2002 - July 28, 2003

AMERICAN CAPITAL PARTNERS, LLC

BD
CRD#: 119249
HAUPPAUGE, NY
Past

April 22, 2002 - November 15, 2002

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

March 18, 1999 - May 16, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

August 13, 1998 - April 16, 1999

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

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
Alabama
(12/19/2017)
RR
Arizona
(12/18/2017)
RR
California
(12/18/2017)
RR
Connecticut
(11/15/2019)
RR
Delaware
(11/9/2022)
RR
Florida
(12/18/2017)
RR
Georgia
(12/18/2017)
RR
Illinois
(7/26/2022)
RR
Kentucky
(12/18/2017)
RR
Maryland
(12/18/2017)
RR
Massachusetts
(6/3/2021)
RR
Nevada
(11/15/2022)
RR
New Jersey
(12/18/2017)
RR
New York
(12/18/2017)
RR
Ohio
(12/18/2017)
RR
Pennsylvania
(2/16/2022)
RR
Puerto Rico
(4/13/2021)
RR
Texas
(12/18/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/1998
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: 8/10/1998
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)
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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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