Jason M. Sgroi

SGROI WEALTH

ALBANY, NY 12207

Some features on this profile are disabled

CRD#: 4613747

Professional summary

Jason Michael Sgroi is a registered financial advisor currently at SGROI WEALTH 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.

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.

1. 1/22/2014: Sgroi Wealth Management Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 04/13/2022 - 368-370 Broadway LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date - 07/15/2021 - 8 Hours Per Month/ 0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Michael Sgroi'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 22, 2022 - Present

SGROI WEALTH

Office #1: 368 Broadway First Floor, Albany, NY 12207

RIA

CRD#: 324281

ALBANY, NY

Past

November 18, 2021 - February 2, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALBANY, NY

Past

December 8, 2006 - February 2, 2023

LPL FINANCIAL LLC

CRD#: 6413

ALBANY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SGROI WEALTH

BROADWAY ADVISOR GROUP, LLC | SGROI WEALTH

CRD#: 324281 / SEC#: 801-127086

RIA

Registered Investment Advisory firm - (12/21/2022 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/9/2023)

IAR

New York
(12/22/2022)

IAR

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 11/17/2021

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/2006

General Securities Representative Examination

Current Firm

SGROI WEALTH

BROADWAY ADVISOR GROUP, LLC | SGROI WEALTH

CRD#: 324281 / SEC#: 801-127086

RIA

Registered Investment Advisory firm - (12/21/2022 Approved)

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

368 Broadway First Floor, Albany, NY 12207

Mailing Address

Phone number

(518) 477-3626

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - BROADWAY ADVISOR GROUP, LLC DBA SGROI WEALTH (6/11/2025)

BROADWAY ADVISOR GROUP, LLC DBA SGROI WEALTH WRAP PROGRAM (3/24/2025)

Regulatory assets under management

Total Number of Accounts	644
AUM (Assets Under Management)	$ 166,642,518

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Nichole Raftopoulos

NVEST FINANCIAL, LLC

IAR

Portland, ME

Douglas Kelly

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Latham, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jason M. Sgroi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Michael Sgroi's CRS (Customer Relationship Summary).

Certified licenses

Experience

SGROI WEALTH

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

SGROI WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2021

SIE

Date: 10/1/2018

Series 7

Date: 12/7/2006

Current Firm

SGROI WEALTH

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SGROI WEALTH

TRUST BUT VERIFY

Contact information

Similar Advisors