Frank M. Sarubbi

SOVEREIGN WEALTH ADVISORS LLC

Houston, TX 77098

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CRD#: 4188924

Professional summary

Frank M. Sarubbi is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Frank has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 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) 6/30/2015 - Sovereign Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/22/15 - 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 06/2015. 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. (2) 08/18/2016: SOVEREIGN WEALTH ADVISORS, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) - DBA for LPL Business (entity for LPL business) - Start 07/01/2015 - 0 HR/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank M. Sarubbi'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

Past

June 29, 2015 - December 31, 2019

SOVEREIGN WEALTH ADVISORS LLC

RIA

CRD#: 188524

HOUSTON, TX

Past

October 23, 2007 - March 4, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

October 23, 2007 - September 21, 2021

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

August 30, 2005 - October 22, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

RIA

CRD#: 104476

HOUSTON, TX

Past

August 30, 2005 - October 22, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

CRD#: 104476

HOUSTON, TX

Past

August 14, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SUGAR LAND, TX

Past

August 14, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 24, 2000 - August 27, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

August 30, 2000 - August 27, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/17/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/20/2000

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: 2/3/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/29/2000

General Securities Representative Examination

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Frank M. Sarubbi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank M. Sarubbi's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN WEALTH ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIRST MIDAMERICA INVESTMENT CORPORATION

FIRST MIDAMERICA INVESTMENT CORPORATION

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SOVEREIGN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2000

SIE

Date: 10/1/2018

Series 31

Date: 2/3/2003

Series 7

Date: 8/29/2000

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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