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CC

Clifton M. Coger

SOVEREIGN GLOBAL ADVISORS
N Chesterfield, VA 23225
Some features on this profile are disabled
CRD#: 3126638
CC

Professional summary

Clifton Marcellus Coger is a registered financial advisor currently at SOVEREIGN GLOBAL ADVISORS LLC located in N Chesterfield, Virginia.

Clifton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Clifton has worked at 4 firms and has passed the Series 65, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifton Marcellus Coger's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Clifton Marcellus Coger'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 23, 2020 - Present

SOVEREIGN GLOBAL ADVISORS LLC

Office #1: 601 Turner Rd, N Chesterfield, VA 23225
RIA
BD
CRD#: 167663
N Chesterfield, VA
Current

October 19, 2020 - Present

SOVEREIGN GLOBAL ADVISORS LLC

Office #1: 601 Turner Rd, N Chesterfield, VA 23225
RIA
BD
CRD#: 167663
N Chesterfield, VA
Past

January 14, 2002 - October 12, 2020

CETERA ADVISORS LLC

RIA
CRD#: 10299
PETERSBURG, VA
Past

October 13, 2000 - October 12, 2020

CETERA ADVISORS LLC

BD
CRD#: 10299
PETERSBURG, VA
Past

March 16, 2000 - August 23, 2000

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

November 25, 1998 - December 31, 1999

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
ANAHEIM, CA

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
Florida
(5/11/2021)
RR
Maryland
(10/20/2020)
RR
Mississippi
(6/16/2023)
RR
North Carolina
(10/20/2020)
RR
Virginia
(12/23/2020)
IAR
Virginia
(12/23/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/1998
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: 8/27/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/11/1998
Investment Company Products/Variable Contracts 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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 167663N Chesterfield, VA 23225

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