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24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-01-17 |
Branch Locations
24 Greenway Plaza Suite 1895, Houston, TX 77046 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Corpus Christi | TX | 01/2010 | Present |
| Sovereign Wealth Advisors, Llc | Houston | TX | 06/2015 | Present |
(1) 01/25/2010: SOVEREIGN COAST WEALTH ADVISORS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - 100% OF TIME SPENT (2) 05/14/2010: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 3% OF TIME SPENT - SALES. INS TYPES: LIFE, HEALTH, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES (3) 06/30/2015: SOVEREIGN WEALTH ADVISORS, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR HYBRID - START 06/22/2015 - 160 HR/MO 8 DURING SECS TRDG HRS - INVESTMENT ADVISER REPRESENTATIVE. (4) 12/8/2015: Islander Athletic Fund - Not Investment Related - 6300 Ocean Drive, Corpus Christi, Texas 78412 - Non-Profit Board Member - Started 01/01/1998 - 4 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1985-08-08 |
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