Walter E. Theobald

SOVEREIGN WEALTH ADVISORS LLC

Porter, TX 77365

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CRD#: 1235214

Professional summary

Walter Eugene Theobald, who also goes by Gene Theobald, is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Porter, Texas and LPL FINANCIAL LLC located in Porter, Texas.

Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Walter has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gene Theobald

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Eugene Theobald's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 5, 2025 - Present

SOVEREIGN WEALTH ADVISORS LLC

Office #1: 23021 Volga Drive, Porter, TX 77365

RIA

CRD#: 188524

Porter, TX

Current

June 4, 2025 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

PORTER, TX

Past

June 5, 2025 - June 5, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

August 7, 2017 - November 27, 2024

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

HOUSTON, TX

Past

March 20, 2012 - November 27, 2024

RBC CAPITAL MARKETS, LLC

CRD#: 31194

HOUSTON, TX

Past

June 1, 2009 - March 28, 2012

MORGAN STANLEY

CRD#: 149777

HOUSTON, TX

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

HOUSTON, TX

Past

June 30, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

HOUSTON, TX

Past

April 20, 2001 - July 5, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HOUSTON, TX

Past

February 26, 1996 - May 18, 2001

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

December 22, 1993 - February 13, 1996

MASTERSON MORELAND SAUER WHISMAN, INC.

CRD#: 16815

Past

July 31, 1993 - December 22, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 27, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 4, 1990 - November 19, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 13, 1989 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

CRD#: 22540

Past

December 3, 1985 - November 13, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

CRD#: 839

HOUSTON, TX

Past

May 16, 1984 - January 14, 1985

SWINK & COMPANY, INC.

CRD#: 7111

Past

April 18, 1984 - May 17, 1984

PARK, RYAN, INC.

CRD#: 7154

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOVEREIGN WEALTH ADVISORS LLC

SOVEREIGN INVESTMENT GROUP LLC | SOVEREIGN WEALTH ADVISORS LLC

CRD#: 188524 / SEC#: 801-98346

RIA

Registered Investment Advisory firm - (6/11/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(9/4/2025)

California
(6/5/2025)

Florida
(6/5/2025)

New Mexico
(6/5/2025)

Tennessee
(8/28/2025)

Texas
(6/5/2025)

IAR

Texas
(6/5/2025)

Washington
(6/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/2/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SOVEREIGN WEALTH ADVISORS LLC

SOVEREIGN INVESTMENT GROUP LLC | SOVEREIGN WEALTH ADVISORS LLC

CRD#: 188524 / SEC#: 801-98346

RIA

Registered Investment Advisory firm - (6/11/2015 Approved)

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Contact information

Main Address

3120 Southwest Frwy Suite 500, Houston, TX 77098

Mailing Address

500 North Shoreline Blvd. #400, Corpus Christi, TX 78401

Phone number

(713) 527-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWA FORM ADV PART 2A FIRM BROCHURE MARCH 30, 2025 (4/15/2025)

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.

Contact information

xxxxx@xxxx.xxx

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Walter E. Theobald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Eugene Theobald's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST SOUTHWEST COMPANY, LLC

MASTERSON MORELAND SAUER WHISMAN, INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

WELLS FARGO CLEARING SERVICES, LLC

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

UNDERWOOD, NEUHAUS & CO., INCORPORATED

SWINK & COMPANY, INC.

PARK, RYAN, INC.

Primary Firm SEC Registration

SOVEREIGN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/2/2017

Series 63

Date: 2/7/1984

SIE

Date: 10/1/2018

Series 7

Date: 4/14/1984

FINRA

Current Firm

SOVEREIGN WEALTH ADVISORS LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN WEALTH ADVISORS LLC

TRUST BUT VERIFY

Contact information

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