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Current Employers
Sovereign Wealth Advisors Llc

24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-01-17
  • TX RA
    APPROVED
    Since 2020-01-17

Branch Locations

24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Houston TX 03/2009 Present
Sovereign Wealth Advisors, Llc Houston TX 06/2015 Present
Previous Registrations
Other Businesses

1. 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. 2. 8/16/2016: Sovereign Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/01/2015 - 0 Hours Per Month.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-12-30
  • S63 Uniform Securities Agent State Law Examination
    1998-12-30
Other Names
  • Elisia Nichols

View on SEC IAPD

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