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3930 E Ray Road Suite 170, Phoenix, AZ 85044 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2013-01-28 |
Branch Locations
3930 E Ray Road Suite 170, Phoenix, AZ 85044 • United States
Hideout, UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sovereign Finance Llc | Phoenix | AZ | 08/2010 | Present |
| Sovereign Investment Advisors Llc | Phoenix | AZ | 08/2010 | Present |
Mr. Assam spends 90% of his time during market hours doing work for Sovereign Consulting (an affiliate of Sovereign Investment Advisors) as Senior Vice President.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-27 |
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