PD
Paul A. Dixon
SOVEREIGN WEALTH ADVISORS LLC
Houston, TX 77098
Some features on this profile are disabled
CRD#: 2105545
PD
Professional summary
Paul Alexander Dixon is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Paul has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) 03/02/2011: Opinions Unlimited - Paid Focus Group - 1% Time Spent - opinion research
(2) 04/23/2015: Smith Research Inc - research - INV REL - by phone / email only - Started 04/20/2015 - 1 Hr/Mo; 0 During Securities Trading
(3) 6/30/2015 - Sovereign Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/29/15 - 12 Hours Per Month/40 Hours During Securities Trading - Time Spent 8% - I provide investment advisory services through Sovereign Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 06/2015. I expect to spend approximately 12 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.
(4) 07/14/2015: UBER - Outside/W-2 Employment - NOT INV REL - 5443 Davids Bend Drive Sugar Land TX 77479 - Started 07/13/2015 - 20 Hr/Mo; 0 Hours During Securities Trading - UBER DRIVER
(5) 08/16/2016: SOVERIGN WEALTH ADVISORS, LLC - DBA for LPL Business (entity for LPL business) - INV REL - 3120 SW FREEWAY, STE 500 HOUSTON TX 77098 - Started 07/01/2015 - - 0 Hr/Mo
CRS (Client Relationship Summary) - RIA
Click below to view Paul Alexander Dixon's 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®
NoneExperience
Current
January 17, 2020 - Present
SOVEREIGN WEALTH ADVISORS LLC
Office #1: 3120 Southwest Frwy Suite 500, Houston, TX 77098RIA
CRD#: 188524
Houston, TX
Current
October 18, 2007 - Present
LPL FINANCIAL LLC
Office #1: 3120 Southwest Fwy Ste 500, Houston, TX 77098RIA
BD
CRD#: 6413
HOUSTON, TX
Past
June 29, 2015 - December 31, 2019
SOVEREIGN WEALTH ADVISORS LLC
RIA
CRD#: 188524
HOUSTON, TX
Past
October 18, 2007 - April 21, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
April 1, 2005 - October 22, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
RIA
CRD#: 104476
HOUSTON, TX
Past
January 19, 2005 - October 22, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
BD
CRD#: 104476
HOUSTON, TX
Past
October 20, 2004 - November 24, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
HOUSTON, TX
Past
October 20, 2004 - November 24, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
December 2, 2002 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
HOUSTON, TX
Past
July 31, 1991 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
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
Arizona(10/18/2007)
RR
Arkansas(1/3/2012)
RR
California(9/10/2010)
RR
Colorado(11/25/2014)
RR
Connecticut(11/25/2014)
RR
Florida(11/25/2014)
RR
Georgia(9/3/2014)
RR
Illinois(11/25/2014)
RR
Indiana(11/25/2014)
RR
Louisiana(11/25/2014)
RR
Maryland(11/25/2014)
RR
Massachusetts(11/25/2014)
RR
Michigan(11/25/2014)
RR
Minnesota(1/5/2024)
RR
Mississippi(5/9/2011)
RR
Missouri(11/25/2014)
RR
Nebraska(12/1/2014)
RR
New Jersey(11/25/2014)
RR
New Mexico(11/25/2014)
RR
New York(9/10/2010)
RR
North Carolina(11/25/2014)
RR
Ohio(1/4/2012)
RR
Oklahoma(11/25/2014)
RR
Pennsylvania(11/25/2014)
RR
South Carolina(11/25/2014)
RR
Tennessee(10/18/2007)
RR
Texas(10/18/2007)
IAR
Texas(1/17/2020)
RR
Utah(1/17/2023)
RR
Virginia(11/25/2014)
RR
Washington(11/25/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
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
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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)
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.
