Kay W. Boyd
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kay Wilson Boyd, who also goes by Deana Kay Copley, Kay Wilson Copley, Kay W Hieronymus, Kay Wilson Hieronymus, was a registered financial professional .
Kay is a previously registered financial professional and started their career in finance in 1981. Kay had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2015 - December 31, 2019
SOVEREIGN WEALTH ADVISORS LLC
August 10, 2007 - December 31, 2019
LPL FINANCIAL LLC
August 10, 2007 - December 31, 2019
LPL FINANCIAL LLC
August 28, 2006 - August 13, 2007
CHASE INVESTMENT SERVICES CORP.
August 28, 2006 - August 13, 2007
CHASE INVESTMENT SERVICES CORP.
October 26, 2004 - August 28, 2006
MSI FINANCIAL SERVICES, INC.
June 28, 2004 - August 28, 2006
METROPOLITAN LIFE INSURANCE COMPANY
June 28, 2004 - August 28, 2006
MSI FINANCIAL SERVICES, INC.
February 27, 2004 - June 23, 2004
WFG ADVISORS, LP
February 25, 2004 - June 23, 2004
WFG INVESTMENTS, INC.
September 4, 2001 - January 21, 2004
STANFORD GROUP COMPANY
September 4, 2001 - January 21, 2004
STANFORD GROUP COMPANY
July 16, 1997 - September 5, 2001
LPL FINANCIAL LLC
June 14, 1996 - July 28, 1997
ROBERT THOMAS SECURITIES, INC
August 15, 1994 - June 14, 1996
INVESTMENT CENTERS OF AMERICA, INC.
August 11, 1992 - August 31, 1994
D.E. FREY & COMPANY, INC.
December 17, 1988 - August 6, 1992
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - December 14, 1988
LEHMAN BROTHERS INC.
October 1, 1981 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
SOVEREIGN WEALTH ADVISORS LLC
CRD#: 188524 / SEC#: 801-98346
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/21/1981
Interest Rate Options ExaminationCurrent Firm
SOVEREIGN WEALTH ADVISORS LLC
CRD#: 188524 / SEC#: 801-98346
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,870 |
| AUM (Assets Under Management) | $ 607,035,864 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
