Rosemary Taverna

SOVEREIGN FINANCIAL GROUP

Stamford, CT 06902

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CRD#: 1244454

Professional summary

Rosemary Taverna, who also goes by Rose Mary Taverna, Rosina Taverna, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Rosemary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Rosemary has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rose Mary Taverna | Rosina Taverna

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. THE TAVERNA GROUP; INVESTMENT-RELATED/INSURANCE; 500 W. PUTNAM AVE, SUITE 400, GREENWICH, CT 06830; FIXED ANNUITY/PROPERTY CASUALTY INSURANCE SALES; START: 1984; 3-4 HOURS/1 HOUR DURING SECURITIES TRADING HOURS DUTIES: ANNUITY (FIXED) LIFE INSURANCE, DISCUSS VARIOUS PRODUCTS IF CLIENTS ARE LOOKING FOR SUCH INSURANCE-RELATED PRODUCTS. 2. NOTARY PUBLIC; 500 W. PUTNAM AVE, SUITE 400, GREENWICH, CT 06830; NOT INVESTMENT RELATED; START: 7/2016; <1 HOUR/HALF HOUR DURING SECURITIES TRADING HOURS; DUTIES: NOTARIZE FORMS, DOCUMENTS FOR CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosemary Taverna'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

April 2, 2020 - Present

SOVEREIGN FINANCIAL GROUP, INC.

Office #1: 35 West Broad Street Suite 100, Stamford, CT 06902

RIA

CRD#: 294314

Stamford, CT

Past

March 6, 2017 - April 1, 2020

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

GREENWICH, CT

Past

January 24, 2000 - April 1, 2020

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

GREENWICH, CT

Past

December 6, 1994 - February 9, 2000

YANKEE FINANCIAL GROUP, INC.

CRD#: 17966

MELVILLE, NY

Past

April 8, 1988 - February 4, 2000

INDEPENDENT INVESTMENTS, INC.

CRD#: 20775

GREENWICH, CT

Past

January 13, 1988 - January 23, 1989

SMILEN INVESTMENT RESEARCH AND MANAGEMENT INCORPORATED

CRD#: 5385

Past

January 11, 1985 - January 1, 1988

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

Past

February 24, 1984 - January 24, 1985

MONY SECURITIES CORPORATION

CRD#: 4386

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
(4/2/2020)

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

IAR

Series 65

Date: 3/1/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/18/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2024

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

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Rosemary Taverna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosemary Taverna's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

YANKEE FINANCIAL GROUP, INC.

INDEPENDENT INVESTMENTS, INC.

SMILEN INVESTMENT RESEARCH AND MANAGEMENT INCORPORATED

NATHAN & LEWIS SECURITIES, INC.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

SOVEREIGN FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/2017

Series 63

Date: 6/13/1984

Series 7TO

Date: 3/18/2024

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

Series 24

Date: 3/18/2024

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

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