Thomas Griffore is a registered investment advisor at Sovereign Financial Group, INC., based in Stamford, CT, with 24 years of industry experience. Thomas 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
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Thomas is the CEO of Sequoius, LLC, a marketing and advertising company, since March 2020. He spends a few hours per week on marketing supplements and assisting with advertising.
Employment History
Current Registrations
Sovereign Financial Group, INC.
Previous Registrations
Great Lakes Wealth, LLC
Citizens Securities, INC.Broker
Citizens Investment Services
Eagle Strategies LLC
Nylife Securities LLCBroker
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
Financial and Investment Management Advisors, INC.
Mutual Service CorporationBroker
Morgan Stanley
Morgan Stanley Dw INC.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.