Charles Lawrence Fahy

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

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 Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Houston	TX	10/2004	Present
Sovereign Wealth Advisors, Llc	Houston	TX	06/2015	Present

10/2004 → Present

Lpl Financial Llc

Houston, TX
06/2015 → Present

Sovereign Wealth Advisors, Llc

Houston, TX

Previous Registrations

2015-06-30 → 2019-12-31

Sovereign Wealth Advisors Llc

Houston, TX
2000-08-14 → 2004-11-03

Ubs Financial Services Inc.

Houston Galleri, TX

Other Businesses

(1) 06/30/2015: SOVEREIGN WEALTH ADVISORS, LLC - INV REL - 3120 Southwest Frwy # 500 Houston TX 77098 - REGISTERED INVESTMENT ADVISOR HYBRID - START 06/22/15 - 40 Hr/Mo; 8 Hours During Securities Trading - IAR (2) 08/16/2016: Soveriegn Wealth Advisors - INV REL - 3120 Southwest Frwy # 500 Houston TX 77098 - DBA for LPL Business (entity for LPL business) - START 10/20/2014 - 0 Hr/Mo

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-08-24
S63	Uniform Securities Agent State Law Examination	1981-03-06

S66 Uniform Combined State Law Examination

2001-08-24
S63 Uniform Securities Agent State Law Examination

1981-03-06

Other Names

Charles Lawrence Fahy
Charles L Fahy

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