Robert E. Lee

SOVEREIGN WEALTH ADVISORS LLC

Houston, TX 77098

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CRD#: 1363282

Professional summary

Robert Edward Lee, CFP®, who also goes by Rob Lee, is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Education Planning

Divorce Planning

Employee and Employer Plan Ben...

Comprehensive Financial Planni...

Estate Planning

Elder Care

Retirement Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Rob Lee

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. 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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Edward Lee'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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

January 17, 2020 - Present

SOVEREIGN WEALTH ADVISORS LLC

Office #1: 3120 Southwest Frwy Suite 500, Houston, TX 77098

RIA

CRD#: 188524

Houston, TX

Current

August 15, 2014 - Present

LPL FINANCIAL LLC

Office #1: 3120 Southwest Fwy Ste 500, Houston, TX 77098

RIA

CRD#: 6413

HOUSTON, TX

Past

November 15, 2017 - December 31, 2019

SOVEREIGN WEALTH ADVISORS LLC

RIA

CRD#: 188524

HOUSTON, TX

Past

August 15, 2014 - March 16, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

December 11, 2006 - August 18, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

December 11, 2006 - August 18, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

September 27, 2006 - December 4, 2006

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

HOUSTON, TX

Past

July 1, 2006 - December 4, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

HOUSTON, TX

Past

July 1, 1998 - September 27, 2006

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

HOUSTON, TX

Past

June 30, 1998 - July 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

HOUSTON, TX

Past

August 20, 1996 - September 11, 1997

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

SAN ANTONIO, TX

Past

September 2, 1994 - February 9, 1995

MONTANO SECURITIES CORPORATION

CRD#: 7887

ORANGE, CA

Past

February 28, 1992 - July 15, 1992

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

October 3, 1989 - March 12, 1990

PLANNED INVESTMENT CO., INC.

CRD#: 3050

INDIANAPOLIS, IN

Past

May 23, 1985 - October 23, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Arizona
(6/19/2018)

Connecticut
(6/15/2018)

Louisiana
(4/25/2016)

Maryland
(8/19/2014)

Missouri
(8/18/2014)

South Carolina
(6/3/2015)

South Dakota
(6/30/2015)

Texas
(8/18/2014)

IAR

Texas
(1/17/2020)

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: 7/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/11/1994

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: 5/18/1985

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert E. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Edward Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

SOVEREIGN WEALTH ADVISORS LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

INVESTMENT PROFESSIONALS, INC.

MONTANO SECURITIES CORPORATION

CARILLON INVESTMENTS, INC.

PLANNED INVESTMENT CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SOVEREIGN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/1998

Series 63

Date: 11/11/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1985

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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