SOVEREIGN FINANCIAL GROUP, INC.
CRD #294314 SEC #801-114529 STAMFORD, CT (888) 765-8180
SEC Registered
Total AUM
$882.7M
Discretionary
$850.2M
Employees
26
Clients
1
Accounts
3,304
Firm Details
- Organization Type
- Corporation
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 23, 2025
- Branch Offices
- 22
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HALL, BRETT, JAMES | I | DIRECTOR, TRADING OPERATIONS | NA | Control |
| HALL, BRETT, JAMES | I | DIRECTOR, TRADING OPERATIONS | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUTCHINSON, DEANNA, BOWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOCHERSPERGER, JOHN, KARL | I | CHIEF COMPLIANCE OFFICER | NA | |
| Mortara, Christopher, Michael | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Mortara, Christopher, Michael | I | CHIEF COMPLIANCE OFFICER | NA | |
| Mortara, Christopher, Michael | I | CHIEF COMPLIANCE OFFICER | NA | |
| Mortara, Christopher, Michael | I | CHIEF COMPLIANCE OFFICER | NA | |
| THIEDE, NICHOLAS, DONALD | I | HEAD OF OPERATIONS | NA | |
| THIEDE, NICHOLAS, DONALD | I | HEAD OF OPERATIONS | NA | |
| THIEDE, NICHOLAS, DONALD | I | HEAD OF OPERATIONS | NA | |
| THIEDE, NICHOLAS, DONALD | I | HEAD OF OPERATIONS | NA | |
| THIEDE, NICHOLAS, DONALD | I | HEAD OF OPERATIONS | NA | |
| THIEDE, NICHOLAS, DONALD | I | HEAD OF OPERATIONS | NA | |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
| FAILLA, CHARLES | I | MANAGING MEMBER | E | Control |
Registrations
Federal
IA
Dec 23, 2025 REGISTERED
Notice Filings (27)
AZ CA CO CT DE FL GA IL LA MA MD ME MI NC NE NH NJ NY OH PA RI SC TN TX UT VA WA
Address
35 WEST BROAD STREETSUITE 100
STAMFORD, CT 06902
United States
Phone: (888) 765-8180