JP
Jeff A. Peskin
SOVEREIGN WEALTH ADVISORS LLC
Houston, TX 77098
Some features on this profile are disabled
CRD#: 4212220
JP
Professional summary
Jeff Alan Peskin is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Jeff is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jeff has worked at 3 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 - Time Spent 25% - 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. 8/16/2016 - Sovereign Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/01/2015 - 0 Hours Per Month.
CRS (Client Relationship Summary) - RIA
Click below to view Jeff Alan Peskin'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
November 1, 2005 - 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
November 1, 2005 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
August 16, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HOUSTON, TX
Past
July 28, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
BD
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".
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
California(11/1/2005)
RR
Florida(11/1/2005)
RR
Louisiana(10/26/2012)
RR
Massachusetts(7/15/2021)
RR
South Carolina(12/23/2008)
RR
Texas(11/1/2005)
IAR
Texas(1/17/2020)
RR
Virginia(9/9/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
