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24 Greenway Plaza Suite 1895, Houston, TX 77046 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-06-05 |
Branch Locations
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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Houston | TX | 03/2012 | 11/2024 |
| City National Bank | Houston | TX | 01/2018 | 08/2021 |
| Lpl Financial Llc | Porter | TX | 06/2025 | Present |
| Retired | Porter | TX | 11/2024 | 06/2025 |
1- 06/04/2025 / Sovereign Wealth Advisors LLC/ DBA for LPL Business (entity for LPL business)/ At reported business location(s) / Investment Related / Start date:06/03/2025/160 hrs mth / 8-4 hrs during trading / 2- 06/04/2025 / Theobald Property Development LLC / Business Entity For Tax/Investment Purposes Only / Not Investment Related / At Reported Business Location(s/ Start date: 07/03/2021/1 hr mth / 0 hrs during trading / 3) 06/11/2025 - Sovereign Wealth Advisors, LLC - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:06/03/2025 - 160 Hrs/Mth - 8-4 Hrs During Trading.I provide administrative support to Sovereign Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 06/03/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-07 |
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