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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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Houston | TX | 08/2014 | Present |
| Independent Bank | Houston | TX | 08/2014 | 09/2017 |
| Sovereign Wealth Advisors, Llc | Houston | TX | 09/2017 | Present |
1. 11/2/2017 - Sovereign Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/29/2017 - 160 Hours Per Month/35 Hours During Securities Trading. 2. 12/15/2017 - Sovereign Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/29/2017 - 160 Hours Per Month/40 Hours During Securities Trading - I provide investment advisory services through Sovereign Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 09/2017. 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. 3. 09/03/2019 - Houston Community College - Not investment related - 3214 Austin St., Houston, TX 77004 - Adjuct Professor Local College - start date:08/21/2019 - 8 hrs/mo - 3 hrs during trading. 4. 11/16/2020 - Exclusive Insurance Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 10/06/2020 - 2 Hours Per Month/1 Hour During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-11 |
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