Stephen M Petty

Current Employers

Employment History

• 07/2011 → Present
  Lpl Financial, Llc
  Houston, TX

Previous Registrations

• 2018-03-22 → 2019-12-31
  Sovereign Wealth Advisors Llc
  Houston, TX

Other Businesses

1. 06/7/2011- AZTEC INVESTMENT PROPERTIES, LLC -NOT INV. REL.-AT REPORTED BUSINESS LOCATION(S)-BUSINESS OWNER- BUY AND SELL RESIDENTIAL REAL ESTATE. - TIME SPENT 20%. 2. 03/18/2016 -Sovereign Wealth Advisors-Inv. Rel.-At Reported Business Location(s)- Non-Variable Insurance- intend to write Fixed Life Insurance, LTC, and/or DI cases using a local agency, "Elite Marketing Group," using their specialists, for plan design, underwriting expertise and service support. -3120 Southwest Freeway Suite 500 Houston, TX 77098- START 02/17/2016 - 2 HRS/MO; 1 HR/MO DURING SECS TRDG HRS. 3. 8/22/2018 - Sovereign Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:11/01/2016 - 1 Hours Per Month/1 Hours During Trading - Time Spent: 1% - I provide investment advisory services through Sovereign Wealth Advisors LLC, an independent investment advisor firm. I started this business activity in 11/2016. I expect to spend approximately 1 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.

Exams

• S66 Uniform Combined State Law Examination
  2016-12-07
• S63 Uniform Securities Agent State Law Examination
  2003-02-22