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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-10-26 |
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