Thomas D. Fortenberry

SOVEREIGN ASSET ADVISORS LLC

Cedar Park, TX

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CRD#: 7298489

Professional summary

Thomas Donald Fortenberry, who also goes by Thomas D. Fortenberry, Tom Fortenberry, is a registered financial advisor currently at SOVEREIGN ASSET ADVISORS LLC located in Cedar Park, Texas.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas D. Fortenberry | Tom Fortenberry

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) 2009-Present: Thomas D. Fortenberry, Attorney at Law/Not Investment Related/Cedar Park, TX/Attorney/Law Practice/Involves up to 50% time each month, including during traditional business hours.//(2) 2009-Present: Licensed Real Estate Agent/Not Investment Related/Cedar Park, TX/Real Estate Agent/Sales to or referrals for real estate clients/Involves five percent or less time each month, including during traditional business hours.//(3) 2020-Present: Trustee/Investment Related/Cedar Park, TX/Trustee for private trusts/Involves five percent or less time each month, including during traditional hours.//

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Donald Fortenberry'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®

None

Experience

Current

November 2, 2020 - Present

SOVEREIGN ASSET ADVISORS LLC

RIA

CRD#: 311083

Cedar Park, TX

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
(11/2/2020)

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: 7/31/2020

Uniform Investment Adviser Law Examination

Current Firm

SOVEREIGN ASSET ADVISORS LLC

CRD#: 311083 / SEC#:

Texas

Registered Investment Advisory firm - (11/2/2020 Approved)

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Contact information

Main Address

Cedar Park, TX

Mailing Address

Phone number

(512) 270-8198

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 2,532,847

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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Thomas D. Fortenberry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Donald Fortenberry's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN ASSET ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2020

Current Firm

SOVEREIGN ASSET ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN ASSET ADVISORS LLC

TRUST BUT VERIFY

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