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RIA / WealthAdvisor20 years in industry

JOSEPH SNELL BROCATO

Advisor at SOVRAN ADVISORS, LLC

Pasadena, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:58ad7571-3719-d1f5-6bd0-e9addb9e16ab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 17, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SOVRAN ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 14, 2006
First registration: Jul 17, 2006
Dual registered: no
Other names: JOSEPH BROCATO|Joseph Brocato
IAPD individual key: 5108805

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SOVRAN ADVISORS, LLC	Independent wealth	Feb 23, 2024	n/a	yes	SAN DIEGO, CA\|Pasadena, CA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Mar 6, 2024	no	PASADENA, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 2, 2015	Mar 25, 2017	no	PASADENA, CA\|LOS ANGELES, CA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Apr 6, 2010	Jan 2, 2015	no	PASADENA, CA\|WOODLAND HILLS, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 17, 2006	Mar 22, 2010	no	WOODLAND HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	SOVRAN ADVISORS, LLC	Mar 6, 2024	Feb 23, 2024	-12	Bulk transfer	Ibd to new firm
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
NEW ENGLAND SECURITIES CORPORATION	MSI FINANCIAL SERVICES, INC.	Jan 2, 2015	Jan 2, 2015	0	Bulk transfer	Other
EQUITABLE ADVISORS, LLC	NEW ENGLAND SECURITIES CORPORATION	Mar 22, 2010	Apr 6, 2010	15	Firm change	Other

Relationships

Registered with (5)

→ SOVRAN ADVISORS, LLCRegistered adviserregistration: current employment
Feb 23, 2024 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Mar 6, 2024factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2015 to Mar 25, 2017factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 6, 2010 to Jan 2, 2015factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 17, 2006 to Mar 22, 2010factForm ADV

Dated events

No dated event names this entity yet.