Sovereign Financial Services
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Sovereign Financial Services advises individual and high-net-worth clients, providing portfolio management and comprehensive financial planning services. The firm operates with two advisory professionals, manages roughly $38 million in client assets, and serves about 65 client relationships.
The brochure describes its investment services as tailored portfolio management for individuals, with ongoing account reviews and customized planning to align with client objectives and risk tolerance. It notes that the firm delivers both discretionary and consultative advice typical of supported advisory practices.
The firm discloses affiliations that are uncommon among peers: personnel are connected with an accounting practice and are licensed insurance agents, and those roles are incorporated into client service delivery. Combined with a small advisory team and limited client base, these additional accounting and insurance capabilities may lead to financial- and tax-focused coordination that differentiates the firm from similarly sized advisers.
Client services
Main office
21 New Britain Avenue, Suite 110
Rocky Hill CT 06067
Advisors at this office
2
Most active in
Connecticut
Also doing business as
D'agostino & Mazzone, LLC · Sovereign Financial Services
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Brendan D
Series 63, Series 65
Rocky Hill, CT
Sovereign Financial Services
Brendan Donahue is a financial advisor at Sovereign Financial Services with 14 years of industry experience. He holds Series 63 and Series 65 designations and has been with Ing Financial Partners, Inc. since 2011. Sovereign Financial Services provides investment advisory and financial planning primarily to individual and high-net-worth clients, offering portfolio management services with ongoing portfolio oversight and periodic account reviews. The firm also coordinates investment advice with tax and insurance considerations as part of its client services.
Mark M
Series 65
Rocky Hill, CT
Sovereign Financial Services
Mark Mazzone is a financial advisor with Sovereign Financial Services, holding a Series 65 designation and possessing 22 years of industry experience. He is also a 50% owner and member of D'Agostino & Mazzone, LLC, a CPA firm providing tax planning, tax compliance, and financial planning services. He has been with D'Agostino & Mazzone since 2000. Sovereign Financial Services offers investment advisory and financial planning services primarily to individual and high-net-worth clients. The firm emphasizes ongoing portfolio oversight and coordination of investment advice with tax and insurance considerations.
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