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RC

Rodolfo G. Choperena

SOVEREIGN WEALTH ADVISORS LLC
San Antonio, TX
Some features on this profile are disabled
CRD#: 2107438
RC

Professional summary

Rodolfo G Choperena, who also goes by Rodolfo Choperena, is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in San Antonio, Texas and LPL FINANCIAL LLC located in Houston, Texas.

Rodolfo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Rodolfo has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rodolfo Choperena

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) 08/25/2023 - Sovereign Wealth Adisors LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 180 Hours per month. 2) 09/20/2023 - Sovereign Wealth Adisors LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 9/20/2023 - 180 Hours Per Month/ 40 Hours During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodolfo G Choperena'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

September 20, 2023 - Present

SOVEREIGN WEALTH ADVISORS LLC

RIA
CRD#: 188524
San Antonio, TX
Current

September 20, 2023 - Present

LPL FINANCIAL LLC

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

June 1, 2009 - September 22, 2023

MORGAN STANLEY

RIA
CRD#: 149777
San Antonio, TX
Past

June 1, 2009 - September 22, 2023

MORGAN STANLEY

BD
CRD#: 149777
San Antonio, TX
Past

September 30, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAN ANTONIO, TX
Past

September 30, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN ANTONIO, TX
Past

February 16, 2001 - October 10, 2002

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN ANTONIO, TX
Past

February 16, 2001 - October 10, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 21, 1995 - February 23, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 26, 1992 - October 2, 1995

INVERWORLD SECURITIES, INC.

BD
CRD#: 19845
SAN ANTONIO, TX

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
Alaska
(9/20/2023)
RR
California
(9/20/2023)
RR
Nevada
(9/20/2023)
RR
Texas
(9/20/2023)
IAR
Texas
(9/20/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/16/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/13/1992
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 7
Date: 8/24/1992
General Securities 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#: 188524San Antonio, TX

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