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STEPHEN SCOTT BARBER
SCOTT BARBER MR, SCOTT BARBER, STEPHEN DONALD BARBER MR, STEPHEN SCOTT BARBER MR, STEPHEN SCOTT BARBER MR.
CRD#: 4617523
IA
Investment Adviser
B
Broker
SOVEREIGN WEALTH ADVISORS LLCCRD#: 188524 3120 SOUTHWEST FRWY
SUITE 500
HOUSTON, TX 77098
LPL FINANCIAL LLCCRD#: 6413 500 N SHORELINE BLVD, STE 400
CORPUS CHRISTI, TX 78401
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2005 (2 years)2 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)IASOVEREIGN WEALTH ADVISORS LLC (CRD# 188524)2020 - Present (5 years)BLPL FINANCIAL LLC (CRD# 6413)2009 - Present (15 years)IASOVEREIGN WEALTH ADVISORS LLC (CRD# 188524)2015 - 2019 (4 years)IALPL FINANCIAL LLC (CRD# 6413)2009 - 2016 (6 years)
Disclosure(s)
View By:
9/27/2016
Financial
Final
10/16/2015
Financial
Final
10/6/2015
Financial
Final
4/13/2015
Financial
Final
License(s)

State Registrations

B
Florida 1/5/2017

B
Texas 10/9/2009

B
New Mexico 11/14/2023

IA
Texas 1/24/2020

B
Tennessee 12/2/2020

B
Utah 7/6/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SOVEREIGN WEALTH ADVISORS LLC (CRD#:188524)
3120 SOUTHWEST FRWY SUITE 500, HOUSTON, TX 77098
Registered with this firm since 1/24/2020

B
LPL FINANCIAL LLC (CRD#:6413)
500 N SHORELINE BLVD, STE 400, CORPUS CHRISTI, TX 78401
Registered with this firm since 10/9/2009

Previous Registration(s)
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IA
06/30/2015 - 12/31/2019 SOVEREIGN WEALTH ADVISORS LLC (CRD#:188524) CORPUS CHRISTI, TX
IA
10/09/2009 - 09/08/2016 LPL FINANCIAL LLC (CRD#:6413) FORT MILL, SC
IA
06/01/2009 - 10/12/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) CORPUS CHRISTI, TX
B
06/01/2009 - 10/12/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) CORPUS CHRISTI, TX
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CORPUS CHRISTI, TX
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CORPUS CHRISTI, TX
IA
07/01/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) CORPUS CHRISTI, TX
B
07/01/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) CORPUS CHRISTI, TX
IA
03/10/2003 - 07/28/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) CORPUS CHRISTI, TX
B
02/21/2003 - 07/28/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.