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STEPHEN M PETTY
CRD#: 4618747
IA
Investment Adviser
B
Broker
SOVEREIGN WEALTH ADVISORS LLCCRD#: 188524 3120 SOUTHWEST FRWY
SUITE 500
HOUSTON, TX 77098
LPL FINANCIAL LLCCRD#: 6413 3120 SW FREEWAY, STE 500
HOUSTON, TX 77098
Registration History
200420062008201020122014201620182020202220242026IASOVEREIGN WEALTH ADVISORS LLC (CRD# 188524)2020 - Present (5 years)BLPL FINANCIAL LLC (CRD# 6413)2011 - Present (13 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2008 - 2011 (3 years)BINVESTMENT PROFESSIONALS, INC. (CRD# 30184)2006 - 2008 (1 year)BEDWARD JONES (CRD# 250)2003 - 2006 (3 years)IASOVEREIGN WEALTH ADVISORS LLC (CRD# 188524)2018 - 2019 (1 year)
License(s)

State Registrations

B
Arkansas 4/19/2022

B
North Carolina 7/5/2011

B
California 8/16/2018

B
Oklahoma 6/3/2015

B
Colorado 7/5/2011

B
Pennsylvania 7/5/2011

B
Florida 3/10/2015

B
Texas 7/5/2011

B
Missouri 7/5/2011

IA
Texas 1/17/2020

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 1/17/2020

B
LPL FINANCIAL LLC (CRD#:6413)
3120 SW FREEWAY, STE 500, HOUSTON, TX 77098
Registered with this firm since 7/5/2011

Previous Registration(s)
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IA
03/22/2018 - 12/31/2019 SOVEREIGN WEALTH ADVISORS LLC (CRD#:188524) HOUSTON, TX
B
07/30/2008 - 07/05/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) HOUSTON, TX
B
10/23/2006 - 07/30/2008 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) HOUSTON, TX
B
02/21/2003 - 10/25/2006 EDWARD JONES (CRD#:250) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
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.