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Current Employers
Sovereign Global Advisors Llc

501 South Cherry Street 11Th Floor, Denver, CO 80246 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2020-12-23
  • VA RA
    APPROVED
    Since 2020-12-23

Branch Locations

601 Turner Rd, N Chesterfield, VA 23225 • United States

501 S Cherry Street 11Th Floor, Denver, CO 80246 • US

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Financial Consulting Group Richmond VA 05/1995 Present
Cetera Advisors Llc Denver CO 01/2013 10/2020
  • 05/1995 → Present
    Financial Consulting Group
    Richmond, VA
  • 01/2013 → 10/2020
    Cetera Advisors Llc
    Denver, CO
Previous Registrations
  • 2002-01-14 → 2020-10-12
    Cetera Advisors Llc
    Collinsville, VA
    Richmond, VA
    Richmond, VA
    Petersburg, VA
    North Chesterfield, VA
Other Businesses

1.FINANCIAL CONSULTING GROUP, START 05-1995, ACCOUNTING - TAX AND FINANCIAL SERVICES, 25-30HR/WK 2.RC INVESTMENT PROPERTIES and CMC Investment Properties START 10/2004, 601 Turner Rd N Chesterfield VA, REAL ESTATE RENTAL 3.FRANKLIN ADULT SERVICES INC(ADULT HEALTH CARE SOLUTIONS), START 06/2005, 505 S MAIN STREET ROCKY MOUNTIAN VA 24151, HOME HEALTHCARE SERVICES, PRESIDENT, 2-3HR/WK

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-20
S63 Uniform Securities Agent State Law Examination 1998-12-23
  • S65 Uniform Investment Adviser Law Examination
    1999-08-20
  • S63 Uniform Securities Agent State Law Examination
    1998-12-23

View on SEC IAPD

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