Steven A. Massey

SOVEREIGN FINANCIAL GROUP

MILFORD, CT 06460

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CRD#: 1161171

Professional summary

Steven Alexander Massey, who also goes by Steve Massey, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Milford, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Steven has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Massey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Name of Business : Massey Financial Services Address: 4 Oxford Road, Building A Marsh Hill Business Park,Milford, CT Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 01/01/1983 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Branch Manager 2. SJM ENTERPRISES - MILFORD, CT. 06/2014. INVESTMENT RELATED: Yes. RENTAL REAL ESTATE. PARTNER. LANDLORD. 3 HOUR PER WEEK, 2 HOUR DURING TRADING. 3. WEST ROCK RIDGE ADVISORY COUNCIL / CT DEEP; NOT INVESTMENT RELATED; HARTFORD, CT; LAND ACQUISITION FOR THE STATE OF CT; MEMBER SINCE 2004; 1/2 HOUR PER MONTH DEVOTED NOT DURING TRADING HOURS; DUTIES: REVIEW PROPERTY FOR THE STATE TO BUY. 4. INSURANCE NON VARIABLE; INVESTMENT RELATED; 10/2000-PRESENT; MILFORD, CT; 10 HRS MNTHLY; 9 HRS DURING TRADING; AGENT; SLAES AND SERVICE OF FIXED, NON-VARIABLE INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Alexander Massey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2020 - Present

SOVEREIGN FINANCIAL GROUP, INC.

Office #1: 4 Oxford Rd, Bldg A, Milford, CT 06460

RIA

CRD#: 294314

MILFORD, CT

Past

January 2, 2009 - December 31, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

MILFORD, CT

Past

December 3, 2001 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

MILFORD, CT

Past

October 18, 2001 - December 31, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MILFORD, CT

Past

August 8, 1997 - October 23, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 5, 1996 - December 31, 2006

MASSEY FINANCIAL SERVICES

RIA

CRD#: 125631

MILFORD , CT

Past

July 15, 1983 - August 6, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOVEREIGN FINANCIAL GROUP, INC.

CRD#: 294314 / SEC#: 801-114529

RIA

Registered Investment Advisory firm - (1/31/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/2/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/1/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/4/2000

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/26/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/6/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/2001

General Securities Principal Examination

Current Firm

SOVEREIGN FINANCIAL GROUP, INC.

CRD#: 294314 / SEC#: 801-114529

RIA

Registered Investment Advisory firm - (1/31/2019 Approved)

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Contact information

Main Address

35 West Broad Street Suite 100, Stamford, CT 06902

Mailing Address

Phone number

(888) 765-8180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOVEREIGN FINANCIAL GROUP, INC FIRM BROCHURE (10/31/2025)

Regulatory assets under management

Total Number of Accounts	3,304
AUM (Assets Under Management)	$ 882,702,145

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Steven A. Massey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Alexander Massey's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

MASSEY FINANCIAL SERVICES

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

SOVEREIGN FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/1998

SIE

Date: 10/1/2018

Series 7

Date: 4/4/2000

Series 22

Date: 1/26/1989

Series 6

Date: 7/14/1983

Series 51

Date: 6/6/2003

Series 24

Date: 1/24/2001

Current Firm

SOVEREIGN FINANCIAL GROUP, INC.

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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