Tresten D. Joseph

SOVEREIGN INVESTMENT ADVISORS LLC

Tempe, AZ

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CRD#: 7257463

Professional summary

Tresten Dzatsinna Joseph, AIF®, who also goes by Tresten Szatsinna Joseph, is a registered financial advisor currently at SOVEREIGN INVESTMENT ADVISORS LLC located in Tempe, Arizona.

Tresten is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Tresten has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tresten Szatsinna Joseph

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.

Starting 08/2019 Mr. Joseph spends 25% during market hours working for Sovereign Consulting (an affiliate of SIA) as Vice President.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tresten Dzatsinna Joseph'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 28, 2020 - Present

SOVEREIGN INVESTMENT ADVISORS LLC

RIA

CRD#: 149040

Tempe, AZ

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 INVESTMENT ADVISORS LLC

CRD#: 149040 / SEC#: 801-80942

RIA

Registered Investment Advisory firm - (2/19/2015 Approved)

Arizona

Registered Investment Advisory firm - (2/20/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (2/20/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(10/1/2020)

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 65

Date: 9/26/2020

Uniform Investment Adviser Law Examination

Current Firm

SOVEREIGN INVESTMENT ADVISORS LLC

CRD#: 149040 / SEC#: 801-80942

RIA

Registered Investment Advisory firm - (2/19/2015 Approved)

Arizona

Registered Investment Advisory firm - (2/20/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (2/20/2015 Terminated)

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Contact information

Main Address

3930 E Ray Road Suite 170, Phoenix, AZ 85044

Mailing Address

Phone number

(480) 385-2850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIA CURRENT ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 2,990,140,818

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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Tresten D. Joseph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tresten Dzatsinna Joseph's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN INVESTMENT ADVISORS LLC

Primary Firm SEC Registration

SOVEREIGN INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2020

Current Firm

SOVEREIGN INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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