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24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-01-14 |
Branch Locations
24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Houston | TX | 09/2007 | Present |
| Sovereign Wealth Advisors, Llc | Houston | TX | 06/2015 | Present |
1. 4/17/2012: No Business Name - Not Investment Related - At Reported Business Location(s) - Business Owner - Time Spent 1% - Disc jockey weddings and birthday parties. 2. 6/30/2015: Sovereign Wealth Advisors, LLC - Investment Related - 3120 Southwest Frwy Ste 500 Houston TX 77098 - Registered Investment Advisor Hybrid - Started 06/22/15 - 40 Hours Per Month/8 Hours During Securities Trading - IAR 3. 08/18/2016: Sovereign Wealth Advisors - Investment Related - 3120 Southwest Fwy, #500, Houston, TX 77098 - DBA for LPL Business (entity for LPL business) - Started 09/01/2015 - 0 Hr/Mo
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-24 |
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