Stephen S. Barber

SOVEREIGN WEALTH ADVISORS LLC

Houston, TX 77098

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CRD#: 4617523

Professional summary

Stephen Scott Barber, who also goes by Scott Barber Mr, Scott Barber, Stephen Donald Barber Mr, Stephen Scott Barber Mr, Stephen Scott Barber Mr., is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Corpus Christi, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Stephen has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Barber Mr | Scott Barber | Stephen Donald Barber Mr | Stephen Scott Barber Mr | Stephen Scott Barber Mr.

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) 09/22/2009: SOVEREIGN COAST WEALTH ADVISORS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) (2) 06/30/2015: SOVEREIGN WEALTH ADVISORS, LLC - IVN REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR HYBRID - START 06/22/2015 - 160 HR/MO 8 DURING SECS TRDG HRS - INVESTMENT ADVISER REPRESENTATIVE (3) 11/13/2020 - AFLAC - Investment Related - 5151 FLYNN PKWY, STE 115; (361) 986-0547 - Non-Variable Insurance - Started 10/12/2020 - 1 Hour Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Scott Barber'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 24, 2020 - Present

SOVEREIGN WEALTH ADVISORS LLC

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

RIA

CRD#: 188524

Houston, TX

Current

October 9, 2009 - Present

LPL FINANCIAL LLC

Office #1: 500 N Shoreline Blvd, Ste 400, Corpus Christi, TX 78401

RIA

CRD#: 6413

Corpus Christi, TX

Past

June 30, 2015 - December 31, 2019

SOVEREIGN WEALTH ADVISORS LLC

RIA

CRD#: 188524

CORPUS CHRISTI, TX

Past

October 9, 2009 - September 8, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

June 1, 2009 - October 12, 2009

MORGAN STANLEY

RIA

CRD#: 149777

CORPUS CHRISTI, TX

Past

June 1, 2009 - October 12, 2009

MORGAN STANLEY

CRD#: 149777

CORPUS CHRISTI, TX

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CORPUS CHRISTI, TX

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CORPUS CHRISTI, TX

Past

July 1, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CORPUS CHRISTI, TX

Past

July 1, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

CORPUS CHRISTI, TX

Past

March 10, 2003 - July 28, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CORPUS CHRISTI, TX

Past

February 21, 2003 - July 28, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Florida
(1/5/2017)

New Mexico
(11/14/2023)

Texas
(10/9/2009)

IAR

Texas
(1/24/2020)

Utah
(7/6/2022)

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: 3/7/2003

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: 1/9/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/14/2003

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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Advisor Monitoring

Firm Stability Insights

Stephen S. Barber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Scott Barber's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

SOVEREIGN WEALTH ADVISORS LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SOVEREIGN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2003

SIE

Date: 10/1/2018

Series 31

Date: 1/9/2006

Series 7

Date: 2/14/2003

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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