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24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2026-03-17 |
| TX | RA | APPROVED | 2020-01-17 |
Branch Locations
24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Houston | TX | 04/2006 | Present |
| Sovereign Wealth Advisors, Llc | Houston | TX | 06/2015 | Present |
1. 10/29/2009 - Sovereign Investment Group LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 6/30/2015 - Sovereign Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/22/15 - 40 Hours Per Month/8 Hours During Securities Trading - Time Spent 25% - I provide investment advisory services through Sovereign Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 06/2015. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 4/5/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 1/1/2019 - 2 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-06 |
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