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35 West Broad Street Suite 100, Stamford, CT 06902 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-04-02 |
Branch Locations
35 West Broad Street Suite 100, Stamford, CT 06902 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Taverna Group | Greenwich | CT | 01/1984 | Present |
| Commonwealth Financial Network | Waltham | MA | 01/2000 | 03/2020 |
| Sovereign Financial Group, Inc. | Stamford | CT | 04/2020 | Present |
1. THE TAVERNA GROUP; INVESTMENT-RELATED/INSURANCE; 500 W. PUTNAM AVE, SUITE 400, GREENWICH, CT 06830; FIXED ANNUITY/PROPERTY CASUALTY INSURANCE SALES; START: 1984; 3-4 HOURS/1 HOUR DURING SECURITIES TRADING HOURS DUTIES: ANNUITY (FIXED) LIFE INSURANCE, DISCUSS VARIOUS PRODUCTS IF CLIENTS ARE LOOKING FOR SUCH INSURANCE-RELATED PRODUCTS. 2. NOTARY PUBLIC; 500 W. PUTNAM AVE, SUITE 400, GREENWICH, CT 06830; NOT INVESTMENT RELATED; START: 7/2016; <1 HOUR/HALF HOUR DURING SECURITIES TRADING HOURS; DUTIES: NOTARIZE FORMS, DOCUMENTS FOR CLIENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-13 |
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