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Caryn J Smith

Sovereign Financial Group, Inc.

Stamford, CT

Scottsdale, AZ

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Current Employers
Sovereign Financial Group, Inc.

35 West Broad Street Suite 100, Stamford, CT 06902 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-06-04
  • AZ RA
    APPROVED
    Since 2025-06-04

Branch Locations

35 West Broad Street Suite 100, Stamford, CT 06902 • United States

5635 N. Scottsdale Road Suite 170-L, Scottsdale, AZ 85250 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northern Trust Company Tempe AZ 06/2018 09/2018
Red Rock Recreation Llc Phoenix AZ 09/2011 06/2018
Rowland Carmichael Advisors Inc Scottsdale AZ 09/2018 12/2020
Mercer Global Advisors Inc. Scottsdale AZ 01/2021 05/2025
Sovereign Financial Group, Inc. Scottsdale AZ 06/2025 Present
Dba Venture Stone Wealth Management Scottsdale AZ 06/2025 Present
  • 06/2018 → 09/2018
    Northern Trust Company
    Tempe, AZ
  • 09/2011 → 06/2018
    Red Rock Recreation Llc
    Phoenix, AZ
  • 09/2018 → 12/2020
    Rowland Carmichael Advisors Inc
    Scottsdale, AZ
  • 01/2021 → 05/2025
    Mercer Global Advisors Inc.
    Scottsdale, AZ
  • 06/2025 → Present
    Sovereign Financial Group, Inc.
    Scottsdale, AZ
  • 06/2025 → Present
    Dba Venture Stone Wealth Management
    Scottsdale, AZ
Previous Registrations
  • 2021-05-13 → 2025-06-13
    Mercer Global Advisors Inc.
    Scottsdale, AZ
    Scottsdale, AZ
  • 2018-11-21 → 2021-03-30
    Rowland Carmichael Advisors Inc
    Scottsdale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-26
  • S65 Uniform Investment Adviser Law Examination
    2018-10-26
Designations
Other Names
  • Caryn Jennifer Culley
  • Caryn Jennifer Culley Smith

View on SEC IAPD

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COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
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