Charles L. Failla

SOVEREIGN FINANCIAL GROUP

Stamford, CT 06902

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CRD#: 2628097

Professional summary

Charles L. Failla, AIF®, CFP®, who also goes by Charles Failla, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Failla

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. REAL ESTATE - STAMFORD, CT. OWNER. STARTED 7/2012 TO PRESENT. 2 HOURS WEEKLY, 1 DURING TRADING HOURS. NOT INVESTMENT RELATED. 2. MILL RIVER ONE LLC - STAMFORD, CT. OWNER/MEMBER OF REAL ESTATE LLC. STARTED 7/5/13 TO PRESENT. 1 HOUR WEEKLY, 0 DURING TRADING HOURS. NOT INVESTMENT RELATED. 3. WWW.STAMFORD4RENT.COM 151 WELLINGTON DRIVE,STAMFORD, CT NATURE OF THE BUSINESS: RENTAL REAL ESTATE PROPRIETOR/OWNER INVESTMENT RELATED:NO 07/23/2012 HOURS PER MONTH 8 HOURS PER MONTH DURING TRADING HOURS: 0 4 .LANDLORD SOVEREIGN FINANCIAL GROUP, INC. ADDRESS: 35 WEST BROAD STREET - SUITE 100,STAMFORD, CT INDEPENDENT RIA POSITION/TITLE: ADVISOR INVESTMENT RELATED:YES START DATE: 09/22/2009 HOURS PER MONTH 16 HOURS PER MONTH DEVOTED DURING TRADING HOURS: 0. I WILL HELP CLIENTS CREATE WRITTEN FINANCIAL PLANS 5. SOVEREIGN REALTY ONE 151 WELLINGTON DRIVE,STAMFORD, CT RENTAL REAL ESTATE PARTNER INVESTMENT RELATED:YES START DATE: 05/07/2014 HOURS PER MONTH 2 HOURS PER MONTH DEVOTED DURING TRADING HOURS: 0 MANAGE RENTAL PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles L. Failla'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: 2001

Experience

Current

February 1, 2019 - Present

SOVEREIGN FINANCIAL GROUP, INC.

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

RIA

CRD#: 294314

Stamford, CT

Past

January 19, 2010 - December 31, 2010

SOVEREIGN FINANCIAL GROUP, INC.

RIA

CRD#: 149738

STAMFORD, CT

Past

January 2, 2009 - December 31, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

STAMFORD, CT

Past

June 23, 2003 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

STAMFORD, CT

Past

July 19, 1999 - December 31, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

STAMFORD, CT

Past

August 28, 1996 - July 28, 1999

R.D. WHITE & CO., INC.

CRD#: 7011

NEW YORK, NY

Past

June 22, 1995 - August 20, 1996

NICHOLS, SAFINA, LERNER & CO. INC.

CRD#: 35476

NEW YORK, NY

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
(2/1/2019)

IAR

Texas
(2/4/2019)

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: 12/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/23/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/21/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/29/1999

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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Firm Stability Insights

Charles L. Failla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles L. Failla's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN FINANCIAL GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

R.D. WHITE & CO., INC.

NICHOLS, SAFINA, LERNER & CO. INC.

Primary Firm SEC Registration

SOVEREIGN FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1999

Series 63

Date: 7/6/1995

SIE

Date: 10/1/2018

Series 31

Date: 12/23/2005

Series 7

Date: 6/21/1995

Series 24

Date: 11/29/1999

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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