Brandon Keith Gay

Employer firm

Sovereign Wealth Advisors LLC CRD 188524

$625M regulatory AUM 5 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Sovereign Wealth Advisors Llc

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

Current Registrations

Authority	Category	Status	Date
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

Organization	City	State	From	To
Lpl Financial, Llc	Houston	TX	02/2016	Present

02/2016 → Present

Lpl Financial, Llc

Houston, TX

Previous Registrations

2016-03-02 → 2019-12-31

Sovereign Wealth Advisors Llc

Hosuton, TX
2010-11-29 → 2016-03-01

Wells Fargo Clearing Services, Llc

Sugar Land, TX

Other Businesses

1. 02/26/2016 - Sovereign Wealth Advisors, LLC/ DBA for LPL Business (entity for LPL business)/ 100%/ HOUSTON, TX 2. 03/02/2016 - Sovereign Wealth Advisors LLC, RIA. (Investment Advisor Rep) 3120 SW Freeway, #500,Houston, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-11-27
S63	Uniform Securities Agent State Law Examination	2010-11-13

S65 Uniform Investment Adviser Law Examination

2010-11-27
S63 Uniform Securities Agent State Law Examination

2010-11-13

View on SEC IAPD