We are an independent CFP® Practitioner and Registered Investment Advisor (RIA). Because we are an independent firm with no captive sales agreements, we align our clients' interests with our own. This means we are paid for our advice, not excessive product commissions. We feel this structure is the fairest, most ethical, and most effective client relationship.Thanks for visiting!
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Susan, a Retired School Teacher from New York
|Firm Start Year:||2007|
|Name of Custodial Firm:||Scottrade Investments|
|States Licensed in:||
Insurance: FL, IN, IA, MD, MN, NM, OR, PA, |
Investment Advisory: Please contact us.
|Number of Years with Current Firm:||7|
2006 - Current: President, Sovereign Wealth Solutions, Inc.
2004- 2008: Senior Securities Trader, Wells Fargo Investments
|I work with the following types of clients:||Businesses , Individual Investors , Investment Clubs|
|Investment Types:||Bonds , Mutual Funds , Options & Futures , Stocks , Annuities , Insurance , Exchange Traded Funds (ETFs) , Socially Responsible Investments (SRI)|
|Qualifications & Memberships|
|Insurance and Annuity Licenses:||Annuity , Life|
|Non-Financial Organization Memberships:||Better Business Bureau, WiserAdvisor Network|
|Number of Advisors in Office:||Up to 10 employees|
|I work with clients as part of a team:||Yes|
|Firm's Number of Managed Clients:||40+|
|Advisor's Number of Managed Clients:||40+|
|Registered Investment Advisor:||Yes|
|Investment Advisor Representative:||Yes|
|I am an acknowledged fiduciary:||Yes|
|Compliance Disclosures in Last 5 years:||I have a clean record|
|Criminal Disclosures in Last 5 years:||I have a clean record|
|Compensation & Fees|
|Fee Structure:||I am a Fee-Based financial professional|
|Minimum Portfolio Size for New Managed Accounts:||$100,000|
|Compensation Methods:||Hourly , Based on Assets , Flat Fee|
|Additional Details on Charges:||Fee schedule available upon request.|
Please contact for updated disclosures.
Financial Advice & Consulting
Our practice centers on three primary areas of client service. The first is risk-managed investing; the second is Capital Access Planning; and the third is area of focus is advice and fee-based planning.
Financial Planning for Individuals
We begin by obtaining a financial profile for each client based on need. Special attention will be paid to the risk profile of each client's portfolio as well as the "big picture" planning necessary to service each client.
Financial Planning for Businesses
We help businesses by providing planning services that allow them to: 1. Identify methods to minimize loss of capital. 2. Find intelligent methods for equipment financing & payment. 3. Obtain highly qualified business and estate planning needs.
Sovereign introduces SPP for your employees!
Details:We have introduced a new program called the Sovereign Partners Program (SPP for short). If you would like to offer your employees (and hey, how about yourself?) an affordable savings plan without the cost of a 401k program, SPP may be for you! Features include: 1. Pre-paid financial services for your employees. 2. Fixed 0.75% fee on assets under management. 3. Affordable annual fees for the employer. And more! Call us today 612-251-3405
|Elko New Market||Excelsior|
|Inver Grove Heights||Jordan|
|New Germany||New Prague|
|Newport||Norwood Young America|
|Saint Michael||Saint Paul|
|Saint Paul Park||Savage|
|Shakopee||South Saint Paul|
|Mon.||9:00 AM - 5:00 PM|
|Tue.||9:00 AM - 5:00 PM|
|Wed.||9:00 AM - 5:00 PM|
|Thu.||9:00 AM - 5:00 PM|
|Fri.||9:00 AM - 5:00 PM|
|Sat.||11:00 AM - 3:00 PM|