Rosemary Taverna
Rosemary Taverna is a registered investment advisor at Sovereign Financial Group, INC., based in Stamford, CT, with 42 years of industry experience. Rosemary operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,246 clients with $880M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sovereign Financial Group's investment management fee is based on the value of your portfolio and can range up to 3.00% annually. The exact fee depends on the complexity of your situation, the amount you invest, and your overall relationship with Sovereign. Fees are billed quarterly. Clients may also incur additional fees related to the Sovereign Align Program. Sovereign may be compensated for offering the StoneCastle cash management solution. Clients that have 1 million or more in assets under management with Sovereign will not be charged a fee for this service. For clients with less than 1 million in assets under management the fee for this service is 0.20%. Sovereign receives an admin/service annual fee of 0.20% of the value of the Client’s Flourish Cash account if a Client participates in the cash management program from Flourish.
Location
35 West Broad Street, Suite 100, Stamford, CT, 06902
Get directionsHistory
Regulatory History (1)
Customer Dispute
June 2017Other Business ActivitiesSells Insurance
Rosemary is involved with The Taverna Group, selling fixed annuities and property casualty insurance since 1984, dedicating a few hours per week. She also serves as a notary public, spending minimal time on this activity.
Employment History
Current Registrations
Sovereign Financial Group, INC.
Previous Registrations
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Yankee Financial Group, INC.Broker
Independent Investments, INC.Broker
Smilen Investment Research and Management IncorporatedBroker
Nathan & Lewis Securities, INC.Broker
Mony Securities CORP.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.