David R. Wren

SOVEREIGN FINANCIAL GROUP

Saratoga Springs, NY

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CRD#: 1254814

Professional summary

David Russell Wren, CFP®, who also goes by David R Wren, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Saratoga Springs, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David R Wren

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.ARDEN HOLDINGS, LLC"INVESTMENT RELATED:7/2010-PRESENT:SARATOGA SPRINGS, NY:PROPRIETOR/OWNER:RENTAL REAL ESTATE:4 HRS/MO:0 HRS DURING TRADING:OWN PROPERTY JOINTLY WITH MY SPOUSE. 2. Name of Business : New York Long Term Care Brokers Address: Clifton Park, NY Nature of the Business: Non-variable Insurance Position/Title: Agent Investment Related:Yes Start Date: 09/12/2006 Hours per month devoted to this business: 2 Hours per month devoted to this business during trading hours: 1 Description of duties: insurance agent 3.Name of Business : High Rock Holdings, LLC Address: Saratoga Springs, NY Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 12/12/2013 Hours per month devoted to this business: 5 Hours per month devoted to this business during trading hours: 5 Description of duties: Support company for office

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Russell Wren'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®

CFP^®

Certified Financial Planner

Experience

Current

October 1, 2021 - Present

SOVEREIGN FINANCIAL GROUP, INC.

RIA

CRD#: 294314

Saratoga Springs, NY

Past

July 8, 2021 - October 11, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Saratoga Spring, NY

Past

January 4, 1999 - October 11, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Saratoga Springs, NY

Past

July 17, 1995 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

April 3, 1989 - October 28, 1994

FIRST AMERICAN MUNICIPALS, INC.

CRD#: 23740

LANGHORNE, PA

Past

September 19, 1985 - January 9, 1989

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

Past

October 10, 1984 - May 6, 1985

MATTHEWS & WRIGHT, INC.

CRD#: 7025

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

New York
(10/1/2021)

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: 3/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/13/1989

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: 7/24/1995

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 6/13/1983

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/13/1983

Municipal 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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

David R. Wren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Russell Wren's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

FIRST AMERICAN MUNICIPALS, INC.

GLEACHER & COMPANY SECURITIES, INC.

MATTHEWS & WRIGHT, INC.

Primary Firm SEC Registration

SOVEREIGN FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/1996

Series 63

Date: 2/13/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/24/1995

Series 52

Date: 6/13/1983

Series 53

Date: 12/13/1983

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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