Johnathan Sawaged: Quint Advisor Fired by B. Riley

Poughkeepsie, New York financial advisor Johnathan Sawaged (CRD# 7061837) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former B. Riley Wealth Management broker is currently registered as an investment advisor with Quint Investments and Insurance.

Mr. Sawaged’s BrokerCheck report discloses his firing from B. Riley Wealth Management. Filed in September 2024, it states that the firm terminated his registration in connection with allegations that he inappropriately handled client payments “while working for an affiliated Tax Services entity.” The disclosure provides no additional information regarding the alleged misconduct.

B. Riley Wealth Management’s website includes a page describing the firm’s approach to working with its clients. “Our financial professionals share consultative investment advice and financial expertise with clients to develop comprehensive wealth plans specifically suited to clients’ financial goals,” it explains. “Our financial professionals also have access to extensive capital market products and services, including award-winning equity research through B. Riley Securities.”

Quint Investments and Insurance’s website includes a page describing the firm’s philosophy. “We want to get to know you in order to help you make the best decisions possible,” it explains. “As a firm, our focus is to understand your goals and develop a plan to reach them. We will meet with you to present an analysis and discuss our recommendations. Together, we implement the recommendations and monitor your progress.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Johnathan Sawaged holds five years of securities industry experience. Based in Poughkeepsie, New York, he has been registered as an investment advisor with Quint Investments and Insurance since September 2024. His past registrations include B. Riley Wealth Management (2022-2024) and National Securities Corporation (2019-2022). His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; and the Uniform Combined State Law Examination, or Series 66. He is licensed in New York. (Information current as of October 28, 2024.)

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