SOVEREIGN FINANCIAL GROUP, INC. of STAMFORD, CT is an SEC-registered investment adviser (CRD 294314). Regulatory assets under management: $1.1B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Christopher Michael Mortara | CHIEF COMPLIANCE OFFICER | — |
| Charles Failla | MANAGING MEMBER | — |
| Nicholas Donald Thiede | HEAD OF OPERATIONS | — |
| Deanna Bowen Hutchinson | CHIEF COMPLIANCE OFFICER | — |
| Brett James Hall | DIRECTOR, TRADING OPERATIONS | — |
| FAILLA CHARLES | MANAGING MEMBER | — |
| KOCHERSPERGER JOHN KARL | CHIEF COMPLIANCE OFFICER | — |
| HUTCHINSON DEANNA BOWEN | CHIEF COMPLIANCE OFFICER | — |