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965 Union Road, West Seneca, NY 14224 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-08 |
| NC | RA | APPROVED | 2018-10-18 |
| SC | RA | APPROVED | 2018-10-18 |
| FL | RA | APPROVED | 2018-03-12 |
| TX | RA | APPROVED | 2018-01-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sgroi Financial Llc | West Seneca | NY | 10/2010 | 10/2024 |
| Cadaret, Grant & Co., Inc. | West Seneca | NY | 10/2010 | 07/2025 |
| Sgroi Wealth Advisory Group, Llc | West Seneca | NY | 11/2017 | Present |
| Lpl Financial Llc | West Seneca | NY | 07/2025 | Present |
1) 05/16/2025-Sgroi Wealth Advisory Group-Financial Planner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 10/22/2017-120hrs/mth-120hrs/mth during trading 2) 05/16/2025-Susan Haxton Memorial Foundation-Treasurer-Non-Profit Board Member-Not inv related-At West Seneca, NY-Start date 06/01/2017-2hrs/mth-0hrs/mth during trading 3) 05/30/2025-Ash Brokerage (insurance brokerage)-Insurance Agent-Non-Variable Insurance-Inv related-At West Seneca, NY-Start date 01/01/2020-5hrs/mth-5hrs/mth during trading 4) 07/25/2025 -62Cascade-Owner-Real Estate Rental-Inv related- Amherst, NY-Start date 01/01/2006-2hrs/mth-0hrs/mth during trading 5) 10/13/2025- (Hybrid) Sgroi Wealth Advisory Group- Registered Investment Advisor Hybrid- INV Related- At Reported Business Location(s)- Start date 11/22/2017- 40 Hours Per Month- 40 Hours During Trading- I provide investment advisory services through Sgroi Wealth Advisory Group, an independent investment advisor firm. I started this business activity in 11/2017. I expect to spend approximately 40 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. 6) 03/19/2026 - Sgroi Lawley - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 03/18/2026 - 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-05 |
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