Jason Sgroi has been Managing Member and Chief Compliance Officer of Broadway Advisor Group since October 2022, is a control person of the firm and directly owns 75% or more of it. Jason Sgroi holds a BS in Business Management from Siena College.
Broadway Advisor Group is an Albany, NY firm with $215M under management, 321 clients and 3 advisers in one office, as of its March 2026 filing.
Jason Sgroi is Principal Advisor / Partner of Sgroi Wealth in Albany, New York, which offers advisory services through Broadway Advisor Group. He has applied 15+ years of experience to financial planning advice for the clients he works with.
Jason Sgroi’s longest registration is the current one, 3 years at Broadway Advisor Group since 2022. Before joining Broadway Advisor Group in 2022, Jason Sgroi was registered through LPL Financial LLC.
- Broadway Advisor GroupCurrent– present · 3 yearsAlbany, NY · Adviser representative · Firm CRD 324281
- LPL Financial LLC– · 1 yearAlbany, NY · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Jason Sgroi is registered as an investment adviser representative in 3 states. The first approvals date from December 2022; the most recent is New Jersey, in January 2023.
- New JerseySince 9 January 2023
- New YorkSince 22 December 2022
- TexasSince 22 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 17 November 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 7 December 2006 |
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Full name
- Jason Michael Sgroi
- CRD
- 4613747
- Firm
- Broadway Advisor Group · CRD 324281
- Role
- Managing Member and Chief Compliance Officer
- Office
- 368 BROADWAY, FIRST FLOOR, Albany, NY 12207
- Registration
- Investment adviser registration
- In the industry since
- December 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- sgroiwealth.com
Where does Jason Sgroi work?
Jason Sgroi has been Managing Member and Chief Compliance Officer of Broadway Advisor Group since October 2022, and is a control person of the firm.
Is Jason Sgroi a financial advisor?
Yes. Jason Sgroi has a current investment-adviser registration in New Jersey, New York and Texas, through Broadway Advisor Group since December 2022.
How many years of experience does Jason Sgroi have?
Jason Sgroi has 19 years in the financial industry, since December 2006, across 2 adviser firms.
What exams has Jason Sgroi passed?
Jason Sgroi has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in December 2006. FINRA credited Jason Sgroi with the SIE, which began in October 2018.
Where is Jason Sgroi based?
Jason Sgroi’s registered office is in Albany, NY.
Is Jason Sgroi registered with FINRA?
No. Jason Sgroi has no current broker registration.
How can I verify Jason Sgroi’s record?
Search CRD 4613747 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Jason Sgroi’s full registration record.