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DP

Daniel C. Pascone

SOVEREIGN FINANCIAL GROUP
FAIRFIELD, CT 06824
Some features on this profile are disabled
CRD#: 5055826
DP

Professional summary

Daniel Carl Pascone is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Fairfield, Connecticut.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Carl Pascone'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

October 31, 2025 - Present

SOVEREIGN FINANCIAL GROUP, INC.

Office #1: 1172 Post Road Second Floor, Office 2, Fairfield, CT 06824
RIA
CRD#: 294314
FAIRFIELD, CT
Past

April 19, 2022 - November 5, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
FAIRFIELD, CT
Past

April 19, 2022 - November 5, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
FAIRFIELD, CT
Past

November 25, 2020 - April 26, 2022

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
FAIRFIELD, CT
Past

November 25, 2020 - April 26, 2022

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
FAIRFIELD, CT
Past

June 24, 2020 - November 30, 2020

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
New York, NY
Past

June 8, 2017 - November 30, 2020

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
New York, NY
Past

July 14, 2006 - October 27, 2016

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT

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.

Highlighted states indicate IAR registrations

IAR
Connecticut
(10/31/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/14/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/2006
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 6
Date: 7/13/2006
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/20/2009
Investment Company Products/Variable Contracts Principal Examination

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
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
26

SEC notice filing (27 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

SOVEREIGN FINANCIAL GROUP, INC FIRM BROCHURE (10/31/2025)

Regulatory assets under management

Total Number of Accounts3,304
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.

Company Information

SOVEREIGN FINANCIAL GROUP, INC.

CRD#: 294314Fairfield, CT 06824

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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