David J. Feldman

SOVEREIGN FINANCIAL GROUP

NEW YORK, NY 10174

CRD#: 5420966

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Professional summary

David Joshua Feldman, who also goes by David J. Feldman, David Feldman, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in New York, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. David has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David J. Feldman | David Feldman

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 David Joshua Feldman'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

September 11, 2019 - Present

SOVEREIGN FINANCIAL GROUP, INC.

Office #1: 405 Lexington Avenue Suite 37a, New York, NY 10174

RIA

CRD#: 294314

NEW YORK, NY

Past

November 19, 2018 - December 31, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

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

New Jersey
(9/11/2019)

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: 10/16/2018

Uniform Investment Adviser Law 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 (27 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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David J. Feldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joshua Feldman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN FINANCIAL GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Primary Firm SEC Registration

SOVEREIGN FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2018

Current Firm

SOVEREIGN FINANCIAL GROUP, INC.

Contact information

SEC notice filing (27 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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