DP
David R. Primozich
SOVEREIGN FINANCIAL GROUP
WETHERSFIELD, CT 06109
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CRD#: 2731982
DP
Professional summary
David Roger Primozich, AIF®, CFP®, ChFC® is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Wethersfield, Connecticut and PURSHE KAPLAN STERLING INVESTMENTS located in Wethersfield, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31 and Series 7 exams.
Question & Answer
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.
1. FIXED INSURANCE - INVESTMENT RELATED. 78 BEAVER ROAD WETHERSFIELD, CT 06109. START DATE 07/29/2016. 1 HOUR/MONTH.
2. POWER OF ATTORNEY AND EXECUTOR-FAMILY RELATED.
3. PRIMOZICH PROFIT SHARING PLAN; TRUSTEE; INVESTMENT RELATED; CONDUCTED AT BRANCH.
4. STONE ARCH WEALTH ADVISORS, LLC - INVESTMENT RELATED - 78 BEAVER ROAD, SUITE 2C WETHERSFIELD, CT 06109 - REGISTERED INVESTMENT ADVISER - PRINCIPAL - START DATE 07/29/2016 - 160 HOURS/MONTH DURING SECURITIES TRADING HOURS - DUTIES: MANAGE INVESTMENT ADVISORY FIRM.
5. PURSHE KAPLAN STERLING INVESTMENTS - INVESTMENT RELATED - 78 BEAVER ROAD, SUITE 2C, WETHERSFIELD, CT 06109 - SECURITIES BROKER-DEALER - REGISTERED REPRESENTATIVE - START DATE 09/2016 - APPROXIMATELY 16 HOURS/MONTH DURING SECURITIES TRADING HOURS - DUTIES: BUY AND SELL SECURITIES.
6. Sovereign Financial Group, Inc. Investment Related. 78 BEAVER ROAD WETHERSFIELD, CT 06109. Investment management and financial planning. IAR. Start 10/2002. 80hrs/mo, 30hrs/mo during trading hours. Provide financial planning and investment related advice to clients.
CRS (Client Relationship Summary) - RIA
Click below to view David Roger Primozich's 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®
Start date: 1999
Experience
Current
October 6, 2020 - Present
SOVEREIGN FINANCIAL GROUP, INC.
Office #1: 78 Beaver Road, Suite 2c, Wethersfield, CT 06109Office #2: 1781 Highland Avenue Suite 208, Cheshire, CT 06410RIA
CRD#: 294314
WETHERSFIELD, CT
Current
September 23, 2016 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 78 Beaver Road Suite 2c, Wethersfield, CT 06109BD
CRD#: 35747
Wethersfield, CT
Past
January 19, 2017 - March 2, 2021
STONE ARCH WEALTH ADVISORS, LLC
RIA
CRD#: 284536
WETHERSFIELD, CT
Past
August 1, 2016 - December 31, 2016
STONE ARCH WEALTH ADVISORS, LLC
RIA
CRD#: 284536
CHESHIRE, CT
Past
November 18, 2005 - August 2, 2016
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
CHESHIRE, CT
Past
November 18, 2005 - August 2, 2016
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
CHESHIRE, CT
Past
March 7, 2003 - December 15, 2005
ADVEST, INC.
RIA
CRD#: 10
GLASTONBURY, CT
Past
March 7, 2003 - December 15, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
May 24, 1999 - April 9, 2003
VERAVEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 105796
GLASTONBURY, CT
Past
October 3, 1997 - April 1, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, 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".
SF
SOVEREIGN FINANCIAL GROUP, INC.
CHEDESTER FINANCIAL | VENTURE STONE WEALTH MANAGEMENT | TAILORED WEALTH | STONE ARCH WEALTH ADVISORS, LLC | SOVEREIGN FINANCIAL GROUP, INC. | MASSEY FINANCIAL SERVICES
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/23/2016)
RR
California(9/23/2016)
RR
Connecticut(9/23/2016)
IAR
Connecticut(10/6/2020)
RR
Delaware(11/3/2023)
RR
Florida(9/23/2016)
RR
Georgia(4/30/2025)
RR
Maine(9/23/2016)
RR
Massachusetts(9/23/2016)
RR
Nevada(4/29/2025)
RR
New Hampshire(11/1/2016)
RR
New York(9/23/2016)
RR
North Carolina(11/1/2016)
RR
Pennsylvania(9/23/2016)
RR
Rhode Island(11/17/2023)
IAR
Texas(10/7/2020)
RR
Virginia(9/23/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SOVEREIGN FINANCIAL GROUP, INC.
CHEDESTER FINANCIAL | VENTURE STONE WEALTH MANAGEMENT | TAILORED WEALTH | STONE ARCH WEALTH ADVISORS, LLC | SOVEREIGN FINANCIAL GROUP, INC. | MASSEY FINANCIAL SERVICES
CRD#: 294314 / SEC#: 801-114529
RIA
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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
26
SEC notice filing (26 States and Territories)
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.
