Donald Sowa, financial advisor Lincoln RI

Donald Sowa

CRD Number: 1754537
Current Firm: Sowa Financial Group

Donald Sowa (CRD# 1754537) is an Investment Advisor Representative working at Sowa Financial Group in Lincoln, RI and has over 36 years of experience in the finance industry. Donald Sowa has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Sowa Financial Group, Inc. East Providence, RI Jan 2000 - Current 24
Commonwealth Equity Services, Inc. East Providence, RI Jan 1993 - Current 31
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1987
S65 NASAA Investment Advisors Law Examination Jun 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Donald J. Sowa
Phone Number: 401-434-8090
Registered State(s):
  • RI
By the Numbers
  • Total Assets Under Management
    352
    MILLIONS
  • Total Number of Accounts
    1,223
    ACCOUNTS
  • Average Account Value
    $287,965
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Publication of periodicals or newsletters
  • Other
Types of Clients
Registered States

CT, FL, MA, ME, NH, NY, RI

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