John Angelo Dragotta Jr
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Dragotta
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
DRAGOTTA, JOHN | SOVEREIGN GLOBAL ADVISORS, LLC | SOVEREIGN GLOBAL ADVISORS LLC
Contact Information
Main Address
501 S Cherry Street 11th Floor, Denver, CO 80246Mailing Address
501 S Cherry Street 11th Floor, Denver, CO 80246Phone Number
(866) 790-9700Established
New York since 03/18/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
10FINRA licenses (40 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
10AUM (Assets Under Management)
$4,192,356Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/20/2014)
(8/28/2014)
(2/24/2014)
(10/13/2022)
(3/17/2014)
(8/19/2023)
(6/9/2014)
(4/9/2020)
(10/31/2018)
(3/10/2014)
(4/11/2023)
(2/14/2014)
(6/24/2014)
(6/18/2014)
(3/24/2014)
(2/6/2014)
(5/4/2017)
(3/4/2014)
(11/19/2019)
(3/20/2020)
(6/9/2014)
(1/29/2016)
(6/13/2014)
(10/3/2016)
(2/21/2014)
(6/5/2014)
(12/18/2017)
(2/26/2020)
(6/6/2014)
(4/13/2021)
(3/5/2018)
(4/23/2014)
(7/2/2020)
(3/28/2016)
(9/1/2023)
(6/5/2014)
(4/12/2018)
(6/9/2014)
(5/4/2020)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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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).
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