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Donald Joseph Sowa

Donald J. Sowa

SOWA FINANCIAL GROUP | Investment Adviser
Lincoln, RI 02865
Some features on this profile are disabled
CRD#: 1754537
Donald Joseph Sowa

Professional summary

Donald Joseph Sowa, AIF®, CFP® is a registered financial advisor currently at SOWA FINANCIAL GROUP located in Lincoln, Rhode Island.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Donald has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 62, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?
Trading individual securities
Financial planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Joseph Sowa'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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 1991

Experience

Current

March 5, 1995 - Present

SOWA FINANCIAL GROUP

Office #1: 24 Albion Road Suite 340, Lincoln, RI 02865
RIA
CRD#: 107646
Lincoln, RI
Past

January 5, 1993 - December 31, 2024

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
LINCOLN, RI
Past

February 6, 1992 - January 12, 1993

SUNPOINT SECURITIES, INC.

BD
CRD#: 25442
LONGVIEW, TX
Past

December 21, 1987 - September 1, 1992

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN

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".
SF
SOWA FINANCIAL GROUP
SOWA FINANCIAL GROUP | SOWA FINANCIAL GROUP INC

CRD#: 107646 / SEC#: 801-43008

RIA
Registered Investment Advisory firm - (1/22/1993 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
Rhode Island
(3/5/1995)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/8/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/25/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 9/22/1993
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 10/18/1989
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/19/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/17/1996
General Securities Principal Examination

Current Firm

SF
SOWA FINANCIAL GROUP
SOWA FINANCIAL GROUP | SOWA FINANCIAL GROUP INC

CRD#: 107646 / SEC#: 801-43008

RIA
Registered Investment Advisory firm - (1/22/1993 Approved)
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Contact information

Main Address
24 Albion Road Suite 340, Lincoln, RI 02865
Mailing Address
Phone number
(401) 434-8090
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A FEBRUARY 2026 (2/12/2026)

Regulatory assets under management

Total Number of Accounts1,400
AUM (Assets Under Management)$ 517,016,775

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.

Company Information

SOWA FINANCIAL GROUP

Investment AdviserCRD#: 107646Lincoln, RI 02865

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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