JD
John A. Dragotta
SOVEREIGN GLOBAL ADVISORS LLC
Denver, CO 80246
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CRD#: 3045806
JD
Professional summary
John Angelo Dragotta JR, who also goes by John Dragotta, is a registered financial advisor currently at SOVEREIGN GLOBAL ADVISORS LLC located in Denver, Colorado.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Dragotta
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.
CRS (Client Relationship Summary) - RIA
Click below to view John Angelo Dragotta JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Angelo Dragotta JR's 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®
NoneExperience
Current
October 3, 2016 - Present
SOVEREIGN GLOBAL ADVISORS LLC
Office #1: 501 South Cherry Street 11th Floor, Denver, CO 80246Office #2: 501 S Cherry Street 11th Floor, Denver, CO 80246RIA
BD
CRD#: 167663
Denver, CO
Current
February 4, 2014 - Present
SOVEREIGN GLOBAL ADVISORS LLC
Office #1: 501 S Cherry Street 11th Floor, Denver, CO 80246Office #2: 501 S Cherry Street 11th Floor, Denver, CO 80246RIA
BD
CRD#: 167663
Denver, CO
Past
October 12, 2009 - June 5, 2014
SAXONY SECURITIES, INC.
BD
CRD#: 115547
MELVILLE, NY
Past
March 1, 2007 - October 13, 2009
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
MELVILLE, NY
Past
May 6, 2002 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
BD
CRD#: 36405
MELVILLE, NY
Past
December 7, 1998 - May 17, 2002
SEABOARD SECURITIES, INC.
BD
CRD#: 755
FLORHAM PARK, NJ
Past
April 30, 1998 - October 9, 1998
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(6/20/2014)
RR
Arizona(8/28/2014)
RR
California(2/24/2014)
IAR
California(10/13/2022)
RR
Colorado(3/17/2014)
IAR
Colorado(8/19/2023)
RR
Connecticut(6/9/2014)
RR
Delaware(4/9/2020)
RR
District of Columbia(10/31/2018)
RR
Florida(3/10/2014)
IAR
Florida(4/11/2023)
RR
Georgia(2/14/2014)
RR
Illinois(6/24/2014)
RR
Indiana(6/18/2014)
RR
Maryland(3/24/2014)
RR
Massachusetts(2/6/2014)
RR
Michigan(5/4/2017)
RR
Minnesota(3/4/2014)
RR
Missouri(11/19/2019)
RR
Montana(3/20/2020)
RR
Nevada(6/9/2014)
RR
New Hampshire(1/29/2016)
RR
New Jersey(6/13/2014)
IAR
New Jersey(10/3/2016)
RR
New York(2/21/2014)
RR
North Carolina(6/5/2014)
RR
Oklahoma(12/18/2017)
RR
Oregon(2/26/2020)
RR
Pennsylvania(6/6/2014)
RR
Puerto Rico(4/13/2021)
RR
South Carolina(3/5/2018)
RR
Texas(4/23/2014)
IAR
Texas(7/2/2020)
RR
Utah(3/28/2016)
RR
Virgin Islands(9/1/2023)
RR
Virginia(6/5/2014)
IAR
Virginia(4/12/2018)
RR
Washington(6/9/2014)
RR
Wisconsin(5/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
Regulatory assets under management
| Total Number of Accounts | 11 |
| 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.
