Jason Michael Sgroi
Professional Summary
Jason Michael Sgroi is a registered financial advisor currently at BROADWAY ADVISOR GROUP located in Albany, New York. Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Jason has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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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
20 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BROADWAY ADVISOR GROUP | SGROI WEALTH | BROADWAY ADVISOR GROUP, LLC
Contact Information
Main Address
368 Broadway First Floor, Albany, NY 12207Phone Number
(518) 477-3626# of Employees
4SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
321AUM (Assets Under Management)
$214,923,032Similar 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.
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Primary Firm SEC Registration
BROADWAY ADVISOR GROUP | SGROI WEALTH | BROADWAY ADVISOR GROUP, LLC
State Registrations and Notice Filings
(1/9/2023)
(12/22/2022)
(12/22/2022)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Jason Michael Sgroi's CRS (Customer Relationship Summary).
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AMERIPRISE FINANCIAL SERVICES, LLC