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Stamford, CT Office

Team
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Sovereign Financial Group, Inc. logo

Sovereign Financial Group, Inc.

Team

Firm-wide stats for Sovereign Financial Group, Inc.

Total advisors

22

Across 19 offices

Clients per advisor

59 Typical

Avg AUM per client

$825,756 Typical

HNW client ratio

22% Low

About

Sovereign Financial Group provides investment management, financial planning, retirement plan advisory and cash‑management services to individuals, high‑net‑worth clients, trusts, estates, retirement plans, businesses and other registered investment advisers. The firm also acts as an investment manager to the Align Alternative Access Fund and offers sub‑advisory and platform services to third‑party RIAs, alongside standard portfolio management and planning engagements.

The firm’s investment approach is primarily long‑term and portfolio‑focused, using low‑cost mutual funds and ETFs alongside individual stocks, bonds and option contracts when appropriate, and applying fundamental and technical analysis supported by third‑party AI tools. Sovereign implements discretionary and non‑discretionary mandates, may employ derivatives (including options) and short‑term margin borrowings for tactical or hedging purposes, and conducts ongoing due diligence and monitoring of independent managers and client portfolios.

Compared with many peers, Sovereign operates across multiple offices with a mid‑sized advisor team and markets a multi‑client service offering—“Sovereign as a Service”—that provides sub‑advisory portfolio management, operational templates and bespoke professional services to other RIAs. The firm also discloses affiliations that can affect implementation choices: certain supervised persons are registered representatives of a broker‑dealer and licensed insurance professionals, Sovereign participates in institutional custodian platforms and it offers cash management programs through third‑party networks.

Based on Sovereign Financial Group, Inc.

Expertise

Private / alternative investments Options & derivatives strategies Real estate investing Tax-loss harvesting

Based on Sovereign Financial Group, Inc.

Location

35 West Broad Street, Suite 100

Stamford CT 06902

Advisors at this office

4

Advisors at this office

user avatar

Rosemary T

Series 63, Series 65

Stamford, CT

Sovereign Financial Group, Inc.

Rosemary Taverna is a financial advisor at Sovereign Financial Group, Inc. with 42 years of industry experience. She holds Series 63 and Series 65 licenses and has worked at Sovereign Financial Group since 2020, following a 20-year tenure at CommonWealth Financial Network. She also operates The Taverna Group, where she provides fixed annuity and property casualty insurance sales, and serves as a notary public. Sovereign Financial Group serves individuals, trusts, estates, charitable organizations, businesses, retirement plans, and a registered investment company, offering portfolio management, financial planning, and consulting services. The firm emphasizes long-term investment strategies using diversified mutual funds and ETFs, supplemented by individual securities and independent managers, and provides access to alternative investment strategies through its Align Alternative Access Fund.

Private / alternative investments Options & derivatives strategies Real estate investing Tax-loss harvesting
user avatar

Charles F

CFP®, Series 63, Series 65

Stamford, CT

Sovereign Financial Group, Inc.

Charles Failla is a CFP® professional with 30 years of experience in the financial services industry. He is affiliated with Sovereign Financial Group, Inc. and has held roles at Raymond James Financial Services Advisors, Inc., among other firms. Outside of his advisory work, he is involved in real estate ownership and management through several entities in Stamford, CT. Sovereign Financial Group serves a diverse client base including individuals, trusts, charitable organizations, and businesses, offering portfolio management, financial planning, retirement advisory, and cash-management solutions. The firm employs a long-term investment approach with diversified mutual funds and ETFs, supplemented by individual securities and alternative strategies through independent managers and its Align Alternative Access Fund.

Private / alternative investments Options & derivatives strategies Real estate investing Tax-loss harvesting
user avatar

Clifford W

Series 65

Stamford, CT

Sovereign Financial Group, Inc.

Clifford Wallach is a financial advisor at Sovereign Financial Group, Inc. He holds a Series 65 designation and has experience in business advising and leadership roles outside the investment industry. Wallach is also president and CEO of RNK Distributing, LLC, a distributor and supplier of sewing-related products. Sovereign Financial Group serves individuals, trusts, estates, charitable organizations, businesses, retirement plans, and a registered investment company. The firm provides portfolio management, financial planning, retirement plan advisory, and cash-management solutions, employing diversified low-cost mutual funds and ETFs with tactical use of individual securities and independent managers.

Private / alternative investments Options & derivatives strategies Real estate investing Tax-loss harvesting
user avatar

David F

Series 65

Stamford, CT

Sovereign Financial Group, Inc.

David Feldman is a financial advisor at Sovereign Financial Group, Inc. in New York, NY, holding a Series 65 designation with six years of industry experience. He previously worked at Raymond James Financial Services Advisors, Inc. and Newmark Capital. Outside of his advisory role, he performs basic computer maintenance for Dr. Howard Feldman FACC FACP on a part-time basis. Sovereign Financial Group serves individuals, trusts, estates, charitable organizations, businesses, retirement plans, and a registered investment company. The firm offers portfolio management, financial planning, retirement plan advisory, and cash-management solutions, utilizing low-cost diversified funds alongside individual securities and independent managers, with a focus on long-term strategies and tactical flexibility.

Private / alternative investments Options & derivatives strategies Real estate investing Tax-loss harvesting
View complete list of advisors at this office
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