Charles L. Fahy

SOVEREIGN WEALTH ADVISORS LLC

Houston, TX 77098

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CRD#: 203808

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.

(1) 06/30/2015: SOVEREIGN WEALTH ADVISORS, LLC - INV REL - 3120 Southwest Frwy # 500 Houston TX 77098 - REGISTERED INVESTMENT ADVISOR HYBRID - START 06/22/15 - 40 Hr/Mo; 8 Hours During Securities Trading - IAR (2) 08/16/2016: Soveriegn Wealth Advisors - INV REL - 3120 Southwest Frwy # 500 Houston TX 77098 - DBA for LPL Business (entity for LPL business) - START 10/20/2014 - 0 Hr/Mo

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

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.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 29, 1999 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

September 15, 1981 - April 22, 1999

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 16, 1973 - September 23, 1981

E. F. HUTTON & COMPANY INC

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".

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

Florida
(10/15/2004)

Georgia
(3/9/2010)

Pennsylvania
(2/10/2017)

Tennessee
(8/2/2006)

Texas
(10/15/2004)

IAR

Texas
(1/17/2020)

Virginia
(5/11/2011)

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 66

Date: 8/24/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/6/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 1/12/1973

Registered 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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Charles L. Fahy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Lawrence Fahy SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SOVEREIGN WEALTH ADVISORS LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

CIBC WORLD MARKETS CORP.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

SOVEREIGN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2001

Series 63

Date: 3/6/1981

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 8/31/1977

Series 1

Date: 1/12/1973

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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