Unclaimed Profile

Charles Failla

SOVEREIGN FINANCIAL GROUP, INC.·STAMFORD, Connecticut

SIE, Series 7, Series 24, Series 31, Series 63, Series 65CFP23 years registeredSOVEREIGN FINANCIAL GROUP, INC.

35 WEST BROAD STREET, STAMFORD, CT 06902CRD# 2628097Firm CRD# 294314

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Charles Failla · STAMFORD, CT

Registration

CRD #2628097 · SOVEREIGN FINANCIAL GROUP, INC. · 23 years registered

Brand Profile

Not yet started

Career History

SOVEREIGN FINANCIAL GROUP, INC.

Feb 2019 – present

SOVEREIGN FINANCIAL GROUP, INC.

Jan 2010 – Dec 2010

STAMFORD, CT

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Jan 2009 – Dec 2018

STAMFORD, CT

RAYMOND JAMES FINANCIAL SERVICES

Jun 2003 – Jan 2009

STAMFORD, CT

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 31

Series 63

Series 65

Registration record

First registered · June 23, 2003

Years registered · 23

Professional designation · CFP

Disclosure History

2012Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SOVEREIGN FINANCIAL GROUP, INC.

CRD 294314 · SEC 801-114529

AUM

$717M

Regulatory assets under management

Employees

2,998 client accounts

Services offered by SOVEREIGN FINANCIAL GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at SOVEREIGN FINANCIAL GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does Charles Failla offer?

Charles Failla specializes in Financial Planning, Investment Management. Contact their office in STAMFORD, Connecticut for a consultation.

What are Charles Failla's credentials?

Charles Failla holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Charles Failla located?

Charles Failla is based in STAMFORD, Connecticut, working with SOVEREIGN FINANCIAL GROUP, INC.. Their office serves clients in the STAMFORD metropolitan area and surrounding communities.

How does Charles Failla charge for services?

Charles Failla's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SOVEREIGN FINANCIAL GROUP, INC.?

SOVEREIGN FINANCIAL GROUP, INC. has approximately 24 employees and manages $717M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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