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24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-09-21 |
Branch Locations
24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States
San Antonio, TX • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | San Antonio | TX | 06/2009 | 09/2023 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 09/2023 |
| Lpl Financial Llc | San Antionio | TX | 09/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 09/2023 |
1) 08/25/2023 - Sovereign Wealth Adisors LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 180 Hours per month. 2) 09/20/2023 - Sovereign Wealth Adisors LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 9/20/2023 - 180 Hours Per Month/ 40 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-13 |
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