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CF

Charles L. Fahy

SOVEREIGN WEALTH ADVISORS
Houston, TX 77098
Some features on this profile are disabled
CRD#: 203808
CF

Professional summary

Charles Lawrence Fahy SR, who also goes by Charles L Fahy, Charles Lawrence Fahy, is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Charles has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Charles L Fahy | Charles Lawrence Fahy

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Lawrence Fahy SR'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

January 17, 2020 - Present

SOVEREIGN WEALTH ADVISORS LLC

Office #1: 3120 Southwest Frwy Suite 500, Houston, TX 77098
RIA
CRD#: 188524
Houston, TX
Current

October 15, 2004 - Present

LPL FINANCIAL LLC

Office #1: 3120 Southwest Fwy Ste 500, Houston, TX 77098
RIA
BD
CRD#: 6413
HOUSTON, TX
Past

October 29, 2020 - October 28, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
HOUSTON, TX
Past

June 30, 2015 - December 31, 2019

SOVEREIGN WEALTH ADVISORS LLC

RIA
CRD#: 188524
HOUSTON, TX
Past

October 15, 2004 - September 7, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
HOUSTON, TX
Past

August 14, 2000 - November 3, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON GALLERI, TX
Past

August 14, 2000 - November 3, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 29, 1999 - August 14, 2000

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

September 15, 1981 - April 22, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 16, 1973 - September 23, 1981

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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".
SW
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.
RR
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

RR
Florida
(10/15/2004)
RR
Georgia
(3/9/2010)
RR
Pennsylvania
(2/10/2017)
RR
Tennessee
(8/2/2006)
RR
Texas
(10/15/2004)
IAR
Texas
(1/17/2020)
RR
Virginia
(5/11/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/24/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/12/1973
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SW
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
38

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,870
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.

Company Information

SOVEREIGN WEALTH ADVISORS LLC

CRD#: 188524Houston, TX 77098

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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