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WV

William L. Vaseliades

SOVEREIGN WEALTH ADVISORS LLC
Houston, TX 77098
Some features on this profile are disabled
CRD#: 2083637
WV

Professional summary

William Lee Vaseliades, who also goes by William Vaseliades, is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. William has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William Vaseliades

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. 07/17/2009 - DBA ONLY - SOVEREIGN COAST WEALTH ADVISORS - TIME SPENT 100% - CORPUS CHRISTI, TX. 2. 10/20/2014 - CRUMP - NON-VARIABLE INSURANCE - TIME SPENT 4 HOURS PER MONTH - CORPUS CHRISTI, TX 3. 12/08/2014 - SOVEREIGN COAST CAPITAL MANAGEMENT - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - TIME SPENT 120 HOURS PER MONTH - CORPUS CHRISTI, TX 4. SOVEREIGN WEALTH ADVISORS, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR HYBRID - START 06/22/15 - 8 HRS/MO DURING SECS TRDG HOURS - 160 HRS/MO NOT DURING SECS TRDG HRS. 5. 03/04/2025- WLVproPhoto- Photography- INV Related- At Houston, Texas - Start date 09/05/2017- 20 Hours Per Month 6. 06/05/2025 - WLVRWV262, LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - At Reported Business Location(s) - Start Date;05/21/2025 - 0 Hrs/Mth - 0Hrs During Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lee Vaseliades'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

July 17, 2009 - Present

LPL FINANCIAL LLC

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

June 30, 2015 - December 31, 2019

SOVEREIGN WEALTH ADVISORS LLC

RIA
CRD#: 188524
CORPUS CHRISTI, TX
Past

July 17, 2009 - October 28, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
CORPUS CHRISTI, TX
Past

June 1, 2009 - July 20, 2009

MORGAN STANLEY

RIA
CRD#: 149777
CORPUS CHRISTI, TX
Past

June 1, 2009 - July 20, 2009

MORGAN STANLEY

BD
CRD#: 149777
CORPUS CHRISTI, TX
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CORPUS CHRISTI, TX
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CORPUS CHRISTI, TX
Past

June 27, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CORPUS CHRISTI, TX
Past

June 27, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CORPUS CHRISTI, TX
Past

May 23, 1995 - June 28, 2000

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

June 10, 1994 - May 31, 1995

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 1, 1991 - June 14, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 20, 1990 - January 1, 1991

ROTAN MOSLE INC.

BD
CRD#: 727

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
Maryland
(7/17/2009)
RR
New Mexico
(1/22/2021)
RR
Oklahoma
(7/17/2009)
RR
South Carolina
(8/1/2014)
RR
Texas
(7/17/2009)
IAR
Texas
(1/17/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/7/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/4/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
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

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