SP
Stephen M. Petty
SOVEREIGN WEALTH ADVISORS LLC
Houston, TX 77098
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CRD#: 4618747
SP
Professional summary
Stephen M Petty is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL LLC located in Houston, 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 5 firms and has passed the Series 66, Series 63, SIE 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. 06/7/2011- AZTEC INVESTMENT PROPERTIES, LLC -NOT INV. REL.-AT REPORTED BUSINESS LOCATION(S)-BUSINESS OWNER- BUY AND SELL RESIDENTIAL REAL ESTATE. - TIME SPENT 20%. 2. 03/18/2016 -Sovereign Wealth Advisors-Inv. Rel.-At Reported Business Location(s)- Non-Variable Insurance- intend to write Fixed Life Insurance, LTC, and/or DI cases using a local agency, "Elite Marketing Group," using their specialists, for plan design, underwriting expertise and service support. -3120 Southwest Freeway Suite 500 Houston, TX 77098- START 02/17/2016 - 2 HRS/MO; 1 HR/MO DURING SECS TRDG HRS. 3. 8/22/2018 - Sovereign Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:11/01/2016 - 1 Hours Per Month/1 Hours During Trading - Time Spent: 1% - I provide investment advisory services through Sovereign Wealth Advisors LLC, an independent investment advisor firm. I started this business activity in 11/2016. I expect to spend approximately 1 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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen M Petty'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
July 5, 2011 - Present
LPL FINANCIAL LLC
Office #1: 3120 Southwest Fwy Ste 500, Houston, TX 77098RIA
BD
CRD#: 6413
HOUSTON, TX
Past
March 22, 2018 - December 31, 2019
SOVEREIGN WEALTH ADVISORS LLC
RIA
CRD#: 188524
HOUSTON, TX
Past
July 30, 2008 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
HOUSTON, TX
Past
October 23, 2006 - July 30, 2008
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
HOUSTON, TX
Past
February 21, 2003 - October 25, 2006
EDWARD JONES
BD
CRD#: 250
HOUSTON, TX
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
Arkansas(4/19/2022)
RR
California(8/16/2018)
RR
Colorado(7/5/2011)
RR
Florida(3/10/2015)
RR
Missouri(7/5/2011)
RR
North Carolina(7/5/2011)
RR
Oklahoma(6/3/2015)
RR
Pennsylvania(7/5/2011)
RR
Texas(7/5/2011)
IAR
Texas(1/17/2020)
Exams
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (6/11/2015 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SOVEREIGN WEALTH ADVISORS LLC
CRD#: 188524Houston, TX 77098TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
