John Christian Dady

Current Employers

Sovereign Financial Group, Inc.

35 West Broad Street Suite 100, Stamford, CT 06902 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-28
TX	RA	APPROVED_RES	2021-01-22

NY RA
APPROVED

Since 2021-10-28
TX RA
APPROVED_RES

Since 2021-01-22

Branch Locations

Hudson, NY • United States

35 West Broad Street Suite 100, Stamford, CT 06902 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	New York	NY	08/2010	11/2016
Wells Fargo Clearing Services, Llc	Rhinebeck	NY	11/2016	11/2020
Sovereign Financial Group, Inc.	Hudson	NY	11/2020	Present

08/2010 → 11/2016

Wells Fargo Advisors Llc

New York, NY
11/2016 → 11/2020

Wells Fargo Clearing Services, Llc

Rhinebeck, NY
11/2020 → Present

Sovereign Financial Group, Inc.

Hudson, NY

Previous Registrations

2001-05-10 → 2005-03-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden City, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-10-28
S63	Uniform Securities Agent State Law Examination	1996-08-26

S65 Uniform Investment Adviser Law Examination

2021-10-28
S63 Uniform Securities Agent State Law Examination

1996-08-26

Other Names

John C Dady

View on SEC IAPD