Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles L. Failla is an investment advisor representative at Sovereign Financial Group, Inc. Charles has been in the industry since 1995. He has a Series 7, Series 63, Series 24, Series 31 and SIE license. Charles has a background in insurance, real estate and financial planning. Charles is a Certified Financial Planner™ and has worked with Raymond James Financial Services, Inc. and R.D. White & Co., Inc. in the past. Charles is registered with the state of Connecticut as an Investment Advisor Representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CT
02/04/2019 - Present
Sovereign Financial Group, Inc. (STAMFORD CT)
CT
07/19/1999 - 12/31/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (STAMFORD CT)
NY
08/28/1996 - 07/28/1999
R.D. WHITE & CO., INC. (NEW YORK NY)
NY
06/22/1995 - 08/20/1996
NICHOLS, SAFINA, LERNER & CO. INC. (NEW YORK NY)
IA
Issued 12/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 06/21/1995
Series 7 - General Securities Representative Examination
Active
Inactive
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