Steven J. Beauvais

SOWA FINANCIAL GROUP

Lincoln, RI 02865

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CRD#: 706078

Professional summary

Steven James Beauvais is a registered financial advisor currently at SOWA FINANCIAL GROUP located in Lincoln, Rhode Island and COMMONWEALTH FINANCIAL NETWORK located in Lincoln, Rhode Island.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Steven has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 1 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. Steven j. Beauvais Financial Consultant, Inc., owner, operating company for financial services, investment related. 2. Registered representative - 85% of IARs time is devoted to being an RR of Broker-Dealer Commonwealth Equity Services, Inc. Effecting securities transactions - investment related 3. Owner, Beauvais Pottery, Located at Smithfield, RI, as of 01/08/2019; Approximately 0% time spent during securities trading hours per month; Not Conducted at branch location; Not Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Beauvais'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

March 5, 1995 - Present

SOWA FINANCIAL GROUP

Office #1: 24 Albion Road Suite 340, Lincoln, RI 02865

RIA

CRD#: 107646

Lincoln, RI

Current

January 3, 1995 - Present

COMMONWEALTH FINANCIAL NETWORK

Office #1: 24 Albion Road #340, Lincoln, RI 02865

RIA

CRD#: 8032

Lincoln, RI

Past

May 30, 1990 - September 19, 1990

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

May 30, 1990 - February 9, 1994

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 9, 1990 - January 4, 1995

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 25, 1985 - May 11, 1990

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

March 20, 1980 - November 16, 1984

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

Past

March 20, 1980 - November 16, 1984

SIGNATOR INVESTORS, INC.

CRD#: 468

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".

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.

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

Connecticut
(1/3/1995)

Florida
(9/24/1996)

Maine
(10/14/1997)

Massachusetts
(1/3/1995)

New Hampshire
(1/12/2001)

Rhode Island
(1/3/1995)

IAR

Rhode Island
(3/5/1995)

Tennessee
(3/15/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/14/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/1990

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/13/1980

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

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

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A NOVEMBER 2025 (11/10/2025)

Regulatory assets under management

Total Number of Accounts	525
AUM (Assets Under Management)	$ 419,739,482

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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Advisor Monitoring

Firm Stability Insights

Steven J. Beauvais

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Beauvais's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

RAYMOND JAMES FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

SOWA FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 5/14/1980

SIE

Date: 10/1/2018

Series 7

Date: 7/26/1990

Series 1

Date: 3/13/1980

FINRA

Current Firm

SOWA FINANCIAL GROUP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOWA FINANCIAL GROUP

TRUST BUT VERIFY

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