Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank M. Sarubbi is an Investment Advisor Representative with Sovereign Wealth Advisors LLC in Houston, TX. Frank has over 20 years of experience in the financial services industry and holds the Series 66, Series 7 and Series 31 licenses. Frank has previously worked at LPL Financial LLC, First MidAmerica Investment Corporation, Morgan Stanley DW Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Frank specializes in providing investment advice to high-net-worth individuals, corporations, and other businesses, including pension and profit sharing plans and charitable organizations. Frank's services include financial planning, portfolio management, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TX
01/17/2020 - Present
Sovereign Wealth Advisors LLC (HOUSTON TX)
TX
10/23/2007 - 09/21/2021
LPL FINANCIAL LLC (HOUSTON TX)
TX
08/30/2005 - 10/22/2007
FIRST MIDAMERICA INVESTMENT CORPORATION (HOUSTON TX)
NY
08/14/2002 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
08/30/2000 - 08/27/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 10/20/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 08/29/2000
Series 7 - General Securities Representative Examination
Active
Inactive
Not sure Frank Sarubbi is the right advisor for you? Invested Better is here to help.
