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SOVEREIGN FINANCIAL GROUP, INC.

Company Details

Entity Name: SOVEREIGN FINANCIAL GROUP, INC.
Jurisdiction: Connecticut
Legal type: Stock
Citizenship: Domestic
Status: Active
Sub status: Annual report due
Date Formed: 01 Jul 2003 (Companies founded in July 2003)
Business ALEI: 0753369
Annual report due: 01 Jul 2025
NAICS code: 523940 - Portfolio Management and Investment Advice
Business address: 35 W Broad St, STAMFORD, CT, 06902, United States
Mailing address: 35 W Broad St, 100, STAMFORD, CT, United States, 06902
ZIP code: 06902 (Companies in Fairfield, 06902)
County: Fairfield
Place of Formation: CONNECTICUT
Total authorized shares: 200
E-Mail: CLF@SFGROUPINC.COM

Central Index Key

CIK number Mailing Address Business Address Phone
1846175 35 WEST BROAD STREET, SUITE 100, STAMFORD, CT, 06902 35 WEST BROAD STREET, SUITE 100, STAMFORD, CT, 06902 (203) 883-6006

Filings since 2024-08-21
Form type N-PX
File number 028-20792
Filing date 2024-08-21
Reporting date 2024-06-30
File View File

Filings since 2024-07-15
Form type 13F-HR
File number 028-20792
Filing date 2024-07-15
Reporting date 2024-06-30
File View File

Filings since 2024-04-15
Form type 13F-HR
File number 028-20792
Filing date 2024-04-15
Reporting date 2024-03-31
File View File

Filings since 2024-02-06
Form type 13F-HR
File number 028-20792
Filing date 2024-02-06
Reporting date 2023-12-31
File View File

Filings since 2023-11-03
Form type 13F-HR
File number 028-20792
Filing date 2023-11-03
Reporting date 2023-09-30
File View File

Filings since 2023-07-31
Form type 13F-HR
File number 028-20792
Filing date 2023-07-31
Reporting date 2023-06-30
File View File

Filings since 2023-05-04
Form type 13F-HR
File number 028-20792
Filing date 2023-05-04
Reporting date 2023-03-31
File View File

Filings since 2023-02-14
Form type 13F-HR
File number 028-20792
Filing date 2023-02-14
Reporting date 2022-12-31
File View File

Filings since 2022-11-14
Form type 13F-HR
File number 028-20792
Filing date 2022-11-14
Reporting date 2022-09-30
File View File

Filings since 2022-08-15
Form type 13F-HR
File number 028-20792
Filing date 2022-08-15
Reporting date 2022-06-30
File View File

Filings since 2022-05-16
Form type 13F-HR
File number 028-20792
Filing date 2022-05-16
Reporting date 2022-03-31
File View File

Filings since 2022-02-15
Form type 13F-HR
File number 028-20792
Filing date 2022-02-15
Reporting date 2021-12-31
File View File

Filings since 2021-11-12
Form type 13F-HR
File number 028-20792
Filing date 2021-11-12
Reporting date 2021-09-30
File View File

Filings since 2021-08-12
Form type 13F-HR
File number 028-20792
Filing date 2021-08-12
Reporting date 2021-06-30
File View File

Filings since 2021-05-17
Form type 13F-HR
File number 028-20792
Filing date 2021-05-17
Reporting date 2021-03-31
File View File

Filings since 2021-02-16
Form type 13F-HR
File number 028-20792
Filing date 2021-02-16
Reporting date 2020-12-31
File View File

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2021 200093943 2022-02-28 SOVEREIGN FINANCIAL GROUP, INC. 4
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2038836006
Plan sponsor’s address 35 WEST BROAD STREET,, SUITE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2022-02-28
Name of individual signing CARMEN FAILLA
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2020 200093943 2021-10-14 SOVEREIGN FINANCIAL GROUP, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, STE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2021-10-14
Name of individual signing DAVID E. CARROLL
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2019 200093943 2020-10-15 SOVEREIGN FINANCIAL GROUP, INC. 4
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, STE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2020-10-15
Name of individual signing DAVID E. CARROLL
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2018 200093943 2019-07-31 SOVEREIGN FINANCIAL GROUP, INC. 3
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, STE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2019-07-31
Name of individual signing DAVID E. CARROLL
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2017 200093943 2019-07-30 SOVEREIGN FINANCIAL GROUP, INC. 3
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, STE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2019-07-30
Name of individual signing DAVID E. CARROLL
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2017 200093943 2018-07-30 SOVEREIGN FINANCIAL GROUP, INC. 3
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, STE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2018-07-30
Name of individual signing DAVID E. CARROLL
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2016 200093943 2017-07-19 SOVEREIGN FINANCIAL GROUP, INC. 3
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, STE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2017-07-19
Name of individual signing DAVID E. CARROLL
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2015 200093943 2016-05-23 SOVEREIGN FINANCIAL GROUP, INC. 3
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, SUITE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2016-05-23
Name of individual signing DEVON PCOLAR
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2014 200093943 2015-09-28 SOVEREIGN FINANCIAL GROUP, INC. 3
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, STE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2015-09-28
Name of individual signing DEVON PCOLAR
Valid signature Filed with authorized/valid electronic signature
SOVEREIGN FINANCIAL GROUP, INC. RETIREMENT PLAN 2013 200093943 2014-09-30 SOVEREIGN FINANCIAL GROUP, INC. 2
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2004-01-01
Business code 523900
Sponsor’s telephone number 2036040616
Plan sponsor’s address 35 WEST BROAD STREET, STE 100, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2014-09-30
Name of individual signing DEVON PCOLAR
Valid signature Filed with authorized/valid electronic signature

Agent

Name Role Business address Mailing address Phone E-Mail Residence address
CHARLES L. FAILLA Agent 35 W Broad St, STAMFORD, CT, 06902, United States 35 W Broad St, STAMFORD, CT, 06902, United States +1 917-208-6423 CLF@SFGROUPINC.COM 151 Wellington Dr, Stamford, CT, 06903-3209, United States

Officer

Name Role Business address Residence address
CHARLES FAILLA Officer 35 W Broad St, STAMFORD, CT, 06902, United States 151 WELLINGTON DRIVE, STAMFORD, CT, 06903, United States

Filing

Filing number Filing date Effective date Filing category Filing type Report year
BF-0012208625 2024-06-22 No data Annual Report Annual Report No data
BF-0011277344 2023-06-01 No data Annual Report Annual Report No data
BF-0008635861 2022-09-21 No data Annual Report Annual Report 2018
BF-0008635863 2022-09-21 No data Annual Report Annual Report 2019
BF-0008635862 2022-09-21 No data Annual Report Annual Report 2015
BF-0010799195 2022-09-21 No data Annual Report Annual Report No data
BF-0010018910 2022-09-21 No data Annual Report Annual Report No data
BF-0008635860 2022-09-21 No data Annual Report Annual Report 2020
BF-0008635858 2022-09-21 No data Annual Report Annual Report 2013
BF-0008635859 2022-09-21 No data Annual Report Annual Report 2017

Related by officers

CHARLES L. FAILLA

SOVEREIGN ADVISORY SERVICES, LLC MILL RIVER ONE, LLC

CHARLES FAILLA

MILL RIVER HOUSE CONDOMINIUM ASSOCIATION, INC. SOVEREIGN REALTY ONE LIMITED PARTNERSHIP

Related by address

No related companies by address

Date of last update: 11 Nov 2024

Sources: Connecticut's Official State Website

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