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Current Employers
Sovereign Global Advisors Llc

501 South Cherry Street 11Th Floor, Denver, CO 80246 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-04
CO RA APPROVED 2025-06-04
FL RA APPROVED 2025-06-04
NJ RA APPROVED 2025-06-04
TX RA APPROVED 2020-07-02
VA RA APPROVED 2018-04-12
  • CA RA
    APPROVED
    Since 2025-06-04
  • CO RA
    APPROVED
    Since 2025-06-04
  • FL RA
    APPROVED
    Since 2025-06-04
  • NJ RA
    APPROVED
    Since 2025-06-04
  • TX RA
    APPROVED
    Since 2020-07-02
  • VA RA
    APPROVED
    Since 2018-04-12

Branch Locations

501 S Cherry Street 11Th Floor, Denver, CO 80246 • US

501 S Cherry Street 11Th Floor, Denver, CO 80246 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sovereign Global Advisors New York NY 01/2014 Present
  • 01/2014 → Present
    Sovereign Global Advisors
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-01
S63 Uniform Securities Agent State Law Examination 1998-05-14
  • S66 Uniform Combined State Law Examination
    2016-09-01
  • S63 Uniform Securities Agent State Law Examination
    1998-05-14
Other Names
  • John Dragotta

View on SEC IAPD

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