Michael C. Colletti

SOVEREIGN GLOBAL ADVISORS LLC

Glen Cove, NY 11542

Some features on this profile are disabled

CRD#: 4577898

Professional summary

Michael Ciro Colletti, who also goes by . . . ., is a registered financial advisor currently at SOVEREIGN GLOBAL ADVISORS LLC located in Glen Cove, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

. . . .

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.

DBA POLARIS FINANCIAL GROUP, INC.SOLE PROPRIETOR. WEALTH MANAGEMENT, SALE OF SECURITIES, FIXED INCOME, ANNUITIES, LIFE INSURANCE. DEVOTE >60%. ANNUAL INCOME >60%.OWN > 60%ESTABLISHED 11/30/2017.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ciro Colletti's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Ciro Colletti'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

March 3, 2020 - Present

SOVEREIGN GLOBAL ADVISORS LLC

Office #1: 50 Glen Street Ste 218, Glen Cove, NY 11542

RIA

CRD#: 167663

Glen Cove, NY

Current

February 4, 2020 - Present

SOVEREIGN GLOBAL ADVISORS LLC

Office #1: 501 S Cherry Street 11th Floor, Denver, CO 80246

RIA

CRD#: 167663

Denver, CO

Past

January 12, 2017 - January 31, 2020

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

GLEN COVE, NY

Past

January 11, 2017 - January 31, 2020

THE INVESTMENT CENTER, INC.

CRD#: 17839

GLEN COVE, NY

Past

May 8, 2015 - December 31, 2016

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

MELVILLE, NY

Past

December 22, 2014 - December 31, 2016

CADARET, GRANT & CO., INC.

CRD#: 10641

MELVILLE, NY

Past

December 9, 2014 - December 10, 2014

SECURITIES AMERICA, INC.

CRD#: 10205

JERICHO, NY

Past

March 19, 2012 - November 21, 2014

NATIONAL SECURITIES CORPORATION

CRD#: 7569

MELVILLE, NY

Past

January 5, 2010 - March 27, 2012

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

HAUPPAUGE, NY

Past

July 19, 2004 - January 28, 2010

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249

EAST MEADOW, NY

Past

September 5, 2002 - July 22, 2004

COMMERCE ONE FINANCIAL INC.

CRD#: 100340

SYOSSET, 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.

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

Kansas
(2/28/2020)

New Jersey
(2/4/2020)

IAR

New Jersey
(3/3/2020)

New York
(2/4/2020)

North Carolina
(10/10/2024)

Pennsylvania
(5/21/2021)

Texas
(2/18/2020)

IAR

Texas
(7/8/2020)

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

State Security Law Exam

IAR

Series 65

Date: 5/27/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

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

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ADAPT HOLDING COMPANY	DIRECT OWNER
DRAGOTTA, JOHN ANGELO JR	CEO, INVESTMENT ADVISOR CCO	3045806
MOHNEY, BRIAN EUGENE	CCO/FINOP	2890043

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael C. Colletti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ciro Colletti's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Ciro Colletti's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN GLOBAL ADVISORS LLC

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

SECURITIES AMERICA, INC.

NATIONAL SECURITIES CORPORATION

FIRST MIDWEST SECURITIES, INC.

AMERICAN CAPITAL PARTNERS, LLC

COMMERCE ONE FINANCIAL INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/2020

Series 63

Date: 11/6/2002

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/4/2002

Series 24

Date: 7/20/2006

FINRA

Current Firm

SOVEREIGN GLOBAL ADVISORS LLC

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN GLOBAL ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors