Johnathon Sawaged

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CRD#: 7061837

Professional summary

Johnathon Sawaged was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Johnathon is a previously registered financial professional and started their career in finance in 2019. Prior to being barred, Johnathon had worked at 4 firms, which includes QUINT INVESTMENTS AND INSURANCE, B. RILEY WEALTH MANAGEMENT, B. RILEY WEALTH ADVISORS INC., NATIONAL SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?

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. Zastenchik & Co. CPAs; Non-investment related; 11 Raymond Ave Ste 32, Poughkeepsie, NY; Tax Preparation services; 160 hours/month devoted during security trading hours. 2. Quint Risk Management, INC; insurance- related.; 11 Raymond Ave Ste 32, Poughkeepsie, NY; 4 hours/month devoted during security trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 23, 2024 - May 23, 2025

QUINT INVESTMENTS AND INSURANCE

RIA

CRD#: 168463

Poughkeepsie, NY

Past

July 22, 2022 - September 4, 2024

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

POUGHKEEPSIE, NY

Past

November 18, 2019 - September 4, 2024

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

POUGHKEESPIE, NY

Past

September 18, 2019 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

POUGHKEEPSIE, 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".

QUINT INVESTMENTS AND INSURANCE

HUDSON VALLEY WEALTH MANAGEMENT GROUP | QUINT WEALTH MANAGEMENT, INC. | QUINT INVESTMENTS AND INSURANCE

CRD#: 168463 / SEC#: 801-118831

RIA

Registered Investment Advisory firm - (6/1/2020 Approved)

Connecticut

Registered Investment Advisory firm - (2/17/2021 Terminated)

New York

Registered Investment Advisory firm - (6/3/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/15/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/18/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/28/2019

Securities Industry Essentials Examination

Current Firm

QUINT INVESTMENTS AND INSURANCE

HUDSON VALLEY WEALTH MANAGEMENT GROUP | QUINT WEALTH MANAGEMENT, INC. | QUINT INVESTMENTS AND INSURANCE

CRD#: 168463 / SEC#: 801-118831

RIA

Registered Investment Advisory firm - (6/1/2020 Approved)

Connecticut

Registered Investment Advisory firm - (2/17/2021 Terminated)

New York

Registered Investment Advisory firm - (6/3/2020 Terminated)

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Contact information

Main Address

210 New Hackensack Road, Wappingers Falls, NY 12590

Mailing Address

Phone number

(845) 345-3628

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A QUINT INVESTMENTS AND INSURANCE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	709
AUM (Assets Under Management)	$ 88,515,065

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.

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Johnathon Sawaged

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUINT INVESTMENTS AND INSURANCE

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

Primary Firm SEC Registration

QUINT INVESTMENTS AND INSURANCE

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2019

Series 7TO

Date: 9/18/2019

SIE

Date: 6/28/2019

Current Firm

QUINT INVESTMENTS AND INSURANCE

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUINT INVESTMENTS AND INSURANCE

TRUST BUT VERIFY

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