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Sovereign Financial Group, Inc. CRD 294314
$1.08B regulatory AUM 5 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
35 West Broad Street Suite 100, Stamford, CT 06902 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2025-06-03 |
Branch Locations
Mount Pleasant, SC • United States
35 West Broad Street Suite 100, Stamford, CT 06902 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Charleston | SC | 06/2024 | 05/2025 |
| Nc State University | Raleigh | NC | 07/2016 | 05/2019 |
| Red Robin | Cary | NC | 08/2016 | 02/2017 |
| Unemployed | Raleigh | NC | 05/2019 | 07/2019 |
| Ihs Markit | Raleigh | NC | 07/2019 | 07/2021 |
| Credit Suisse | Morrisville | NC | 07/2021 | 11/2021 |
| Hilltop Wealth Advisors | Chapel Hill | NC | 11/2021 | 05/2024 |
| Sovereign Financial Group, Inc. | Mount Pleasant | SC | 05/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-29 |
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