David Joseph Ungaro

Current Employers

Employment History

• 05/2008 → 07/2025
  Next Financial Group Inc
  Williamsville, NY
• 07/2025 → Present
  Lpl Financial Llc
  Amherst, NY
• 06/2016 → Present
  Sovereign Asset Management
  Amherst, NY

Previous Registrations

• 2014-10-06 → 2025-05-22
  Next Financial Group, Inc.
  Amherst, NY
  Williamsville, NY

Other Businesses

1- 07/2025 - Priority Financial Group - Non-Variable Insurance - Broker - Investment Related - At Reported Business Location(s) - Start Date 07/15/2013 - 2 hours per month/ 0 hours during trading 2- 07/2025 - The Money Men Inc - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/05/2010 - 5 hours per month/ 0 hours during trading 3- 08/13/2025 - Sovereign Asset Management - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 06/28/2016 - 155 hours per month/ 20 hours during trading - I provide investment advisory services through Sovereign Asset Management, an independent investment advisor firm. I started this business activity in 06/2016. I expect to spend approximately 155 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2014-10-20
• S63 Uniform Securities Agent State Law Examination
  1990-06-21