Bradley A. Bowman

SOVEREIGN WEALTH ADVISORS LLC

Houston, TX 77098

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CRD#: 2898756

Professional summary

Bradley Alan Bowman, who also goes by Brad Bowman, Bradley Bowman, is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Sugar Land, Texas.

Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Bradley has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brad Bowman | Bradley Bowman

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. 07/22/2022 - Sovereign Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 07/01/2022 - 40 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Sovereign Wealth Advisors LLC, an independent investment advisor firm. I started this business activity in 7/2022. I expect to spend approximately 40 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Alan Bowman'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

June 29, 2022 - Present

SOVEREIGN WEALTH ADVISORS LLC

Office #1: 3120 Southwest Frwy Suite 500, Houston, TX 77098

RIA

CRD#: 188524

Houston, TX

Current

October 14, 2016 - Present

LPL FINANCIAL LLC

Office #1: 1 Sugar Creek Center Blvd Ste 340, Sugar Land, TX 77478Office #2: 3120 Southwest Fwy Ste 500, Houston, TX 77098

RIA

CRD#: 6413

SUGAR LAND, TX

Past

October 14, 2016 - November 8, 2023

INTRUA FINANCIAL

RIA

CRD#: 281554

SUGAR LAND, TX

Past

January 21, 2014 - October 14, 2016

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ROSENBERG, TX

Past

April 24, 2009 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SPRING, TX

Past

April 24, 2009 - October 14, 2016

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SPRING, TX

Past

July 16, 2007 - April 27, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

RICHMOND, TX

Past

November 3, 2006 - April 27, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

RICHMOND, TX

Past

May 13, 2003 - November 10, 2006

AMEGY INVESTMENTS, INC.

CRD#: 120145

ROSENBERG, TX

Past

January 20, 2000 - May 15, 2003

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

July 8, 1997 - January 5, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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

Arizona
(4/1/2020)

Florida
(10/14/2016)

Illinois
(4/6/2023)

Louisiana
(10/14/2016)

IAR

Louisiana
(7/6/2022)

New Mexico
(10/14/2016)

Oklahoma
(1/2/2021)

Rhode Island
(10/14/2016)

Texas
(10/14/2016)

IAR

Texas
(6/29/2022)

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: 7/12/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/7/1997

General Securities 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.

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Firm Stability Insights

Bradley A. Bowman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Alan Bowman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

INTRUA FINANCIAL

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

AMEGY INVESTMENTS, INC.

FISERV INVESTOR SERVICES, INC.

EDWARD JONES

Primary Firm SEC Registration

SOVEREIGN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2007

Series 63

Date: 7/10/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/7/1997

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

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