| Advisor Profile |
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| Name: |
Charles Failla, CFP® |
| Phone Number: |
(646) 350-4071 |
| Website: |
Visit Website
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Business Description |
Offices in New York City [The Chrysler Building] and Stamford, CT [Landmark Square].
As an independent, Board Certified Financial Planner practitioner, Charles Failla, CFP(r), understands that most cases require a coordinated "team" approach to ensure all aspects of a client's financial and estate planning needs are properly coordinated and continuously monitored.
As such, he will regularly encourage clients to have their current advisors (estate lawyers, accountants, insurance professionals, etc...) liaison with us to be sure we are all working together toward the client's objectives. If a client of ours does not have established relationships with such professionals, we will offer to bring in a member of our "team" to provide their expertise when needed.
Because of our independent structure, Chuck is able to coordinate and deliver the full spectrum of personal financial services under one roof. This unbiased and holistic approach to financial planning and adherence to a disciplined financial planning process helps him provide clients with the tools they need to reach their goals.
Sovereign Financial Group, inc. is an independent firm. Securities and investment advisory services offered through Raymond James Fianncial Services, Inc. Member FINRA / SIPC. |
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General Information |
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| Name of Broker/Dealer: |
Raymond James Financial Services, Inc.
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| States Licensed in: |
CA, CO, CT, FL, GA, ME, MD, MI, NJ, NY, NC, PA
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| Years of Experience in Financial Services: |
13
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| Number of Years with Current Firm: |
9
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| I work with the following types of clients: |
Individual Investors
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Education |
| Academic Background |
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| BS, Finance - University of Connecticut |
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Services |
| Investment Types: |
Annuities, Insurance, Mutual Funds, Options & Futures, Alternative Investments, Stocks, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
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| Securities Licenses: |
Series 7, Series 24
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| Insurance and Annuity Licenses: |
Life, Health, Long Term Care, Disability
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Compensation Methods: |
Hourly, Commissions, Based on Assets, Flat Fee
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| Prepared By: |
Charles Failla, CFP® |
Frequently Asked Questions |
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