RIA Intelligence

SOVEREIGN FINANCIAL SERVICES, INC.

CRD #109575 SEC #801-55036 DENVER, CO 303-292-2294
SEC Registered
Total AUM
$3.6B
Discretionary
$486.6M
Employees
--
Clients
--
Accounts
6

Firm Details

Organization Type
Corporation
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 28, 2002
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
CATTANACH, KATHERINEIPRESIDENT, DIRECTORNA Control
CATTANACH, KATHERINEIPRESIDENT, DIRECTORNA Control
CATTANACH, KATHERINEIPRESIDENT, DIRECTORNA Control
KELLEY, MARY, FRANCESISECRETARY, TREASURER, DIRECTORNA Control
KELLEY, MARY, FRANCESISECRETARY, TREASURER, DIRECTORNA Control
KELLEY, MARY, FRANCESISECRETARY, TREASURER, DIRECTORNA Control
NELSON, BRETT, ALANICHIEF INVESTMENT OFFICERNA Control
NELSON, BRETT, ALANICHIEF INVESTMENT OFFICERNA Control
NELSON, BRETT, ALANICHIEF INVESTMENT OFFICERNA Control
RUNBERG, DAVID, BARNHILLICHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICERNA Control
RUNBERG, DAVID, BARNHILLICHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICERNA Control
RUNBERG, DAVID, BARNHILLICHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICERNA Control
PELL RUDMAN & COMPANY, INC.DE100% OWNER OF SOVEREIGN FINANCIAL SERVICES, INC.E Control
PELL RUDMAN & COMPANY, INC.DE100% OWNER OF SOVEREIGN FINANCIAL SERVICES, INC.E Control
PELL RUDMAN & COMPANY, INC.DE100% OWNER OF SOVEREIGN FINANCIAL SERVICES, INC.E Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
AMVESCAP GROUP SERVICES, INC.DEINVESCO NORTH AMERICAN HOLDINGSE Control
AMVESCAP GROUP SERVICES, INC.DEINVESCO NORTH AMERICAN HOLDINGSE Control
AMVESCAP GROUP SERVICES, INC.DEINVESCO NORTH AMERICAN HOLDINGSE Control
AMVESCAP PLCFEAVZ, INC.E Control
AMVESCAP PLCFEAVZ, INC.E Control
AMVESCAP PLCFEAVZ, INC.E Control
AVZ, INC.DEAMVESCAP GROUP SERVICES, INC.E Control
AVZ, INC.DEAMVESCAP GROUP SERVICES, INC.E Control
AVZ, INC.DEAMVESCAP GROUP SERVICES, INC.E Control
INVESCO NORTH AMERICAN HOLDINGS, INC.FEPELL RUDMAN & COMPANY, INC.E Control
INVESCO NORTH AMERICAN HOLDINGS, INC.FEPELL RUDMAN & COMPANY, INC.E Control
INVESCO NORTH AMERICAN HOLDINGS, INC.FEPELL RUDMAN & COMPANY, INC.E Control

Registrations

Federal

IA
Mar 28, 2002 REGISTERED

Notice Filings (1)

CO

Address

1401 17TH STREET, SUITE 1000
DENVER, CO 80202
USA
Phone: 303-292-2294