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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Petty is a registered investment advisor representative with Sovereign Wealth Advisors LLC, an independent investment advisor firm. Stephen has been in the financial industry since 2003. Stephen is licensed in Arkansas, California, Colorado, Florida, Missouri, North Carolina, Oklahoma, Pennsylvania, and Texas. Stephen's prior firms include UVEST FINANCIAL SERVICES GROUP, INC., INVESTMENT PROFESSIONALS, INC. and EDWARD JONES. Stephen has a Series 63, Series 66, Series 7 and SIE. Stephen also holds a license to sell insurance and works as a Business Owner for AZTEC INVESTMENT PROPERTIES, LLC. Stephen has a strong understanding of the financial markets and a commitment to providing his clients with personalized investment advice. Stephen's experience and expertise allow him to help his clients achieve their financial goals.
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.
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2
TX
01/17/2020 - Present
Sovereign Wealth Advisors LLC (HOUSTON TX)
TX
07/30/2008 - 07/05/2011
UVEST FINANCIAL SERVICES GROUP, INC. (HOUSTON TX)
TX
10/23/2006 - 07/30/2008
INVESTMENT PROFESSIONALS, INC. (HOUSTON TX)
TX
02/21/2003 - 10/25/2006
EDWARD JONES (HOUSTON TX)
BOTH
Issued 12/07/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/22/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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