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Shawn Patrick Miller

Sovereign Financial Services, LLC

Phoenix, MD

CRD 3241857

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Employer firm

Sovereign Financial Services, LLC CRD 153059

$92.1M regulatory AUM 145 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting

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

Current Employers
Sovereign Financial Services, Llc

12 Brocster Ct, Phoenix, MD 21131 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2016-03-14
PA RA APPROVED 2015-04-09
  • MD RA
    APPROVED
    Since 2016-03-14
  • PA RA
    APPROVED
    Since 2015-04-09

Branch Locations

12 Brocster Ct, Phoenix, MD 21131 • 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
OrganizationCityStateFromTo
Sovereign Financial Services Bel Air MD 03/2010 Present
  • 03/2010 → Present
    Sovereign Financial Services
    Bel Air, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-03-26
S63 Uniform Securities Agent State Law Examination 1999-11-24
  • S65 Uniform Investment Adviser Law Examination
    2010-03-26
  • S63 Uniform Securities Agent State Law Examination
    1999-11-24
Other Names
  • Shawn P Miller

View on SEC IAPD

Nearby Firms

PNC WEALTH MANAGEMENT LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RASKIN GLOBAL INC.

Nearby Investors

Melissa Jeanne Miller
Terese Marie Hopper
GRAHAM TYLER BAUER

Nearby Offices

PNC WEALTH MANAGEMENT LLC · PHOENIX, MD
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · PHOENIX, MD
RASKIN GLOBAL INC. · PHOENIX, MD

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