Neal A. Britt

SOVEREIGN WEALTH ADVISORS

HOUSTON, TX 77098

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CRD#: 4020786

Professional summary

Neal Alan Britt is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.

Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Neal has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Alan Britt'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

August 26, 2005 - Present

LPL FINANCIAL LLC

Office #1: 3120 Southwest Fwy Ste 500, Houston, TX 77098

RIA

CRD#: 6413

HOUSTON, TX

Past

April 22, 2025 - July 10, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

June 13, 2024 - July 1, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

June 29, 2015 - December 31, 2019

SOVEREIGN WEALTH ADVISORS LLC

RIA

CRD#: 188524

HOUSTON, TX

Past

August 26, 2005 - September 7, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

October 23, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HOUSTON, TX

Past

September 27, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

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

Alabama
(7/16/2009)

California
(7/11/2016)

Colorado
(3/7/2016)

Delaware
(6/9/2021)

District of Columbia
(3/23/2017)

Florida
(8/11/2008)

Illinois
(8/26/2005)

Indiana
(9/24/2008)

Kansas
(1/28/2015)

Louisiana
(9/22/2005)

IAR

Louisiana
(3/17/2026)

Michigan
(8/1/2014)

Minnesota
(11/20/2025)

Mississippi
(4/27/2021)

Nebraska
(3/8/2011)

New Mexico
(8/26/2005)

North Carolina
(6/28/2024)

Ohio
(2/11/2013)

Oklahoma
(6/25/2013)

Texas
(8/26/2005)

IAR

Texas
(1/17/2020)

Utah
(9/8/2020)

Washington
(1/6/2020)

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: 10/17/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/30/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/26/2002

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Neal A. Britt

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Alan Britt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SOVEREIGN WEALTH ADVISORS LLC

LPL FINANCIAL LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SOVEREIGN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2002

SIE

Date: 10/1/2018

Series 31

Date: 12/30/2002

Series 7

Date: 9/26/2002

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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