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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

STEPHEN CRAIG HALL

Advisor at SOVEREIGN WEALTH ADVISORS LLC

HOUSTON, TX

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Search this name across graphsid dfx:ria:3b15944a-9c36-9d31-841c-a0fb0bc6cc15

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 2, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SOVEREIGN WEALTH ADVISORS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 22, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: May 22, 1992
First registration: Jan 2, 2002
Dual registered: yes, broker-dealer
Other names: CRAIG HALL
IAPD individual key: 2228431

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SOVEREIGN WEALTH ADVISORS LLC	Independent wealth	Jun 2, 2025	n/a	yes	HOUSTON, TX	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	Feb 7, 2025	no	HOUSTON, TX\|Longboat Key, FL	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	May 8, 2019	Jun 29, 2023	no	OAKLAND, CA\|HOUSTON, TX\|Longboat Key, FL	Previous registration
HALL & NORTH FINANCIAL GROUP, LLC	Former SEC adviser	Jan 14, 2008	Dec 31, 2025	no	HOUSTON, TX	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Jan 2, 2002	Jan 16, 2008	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HALL & NORTH FINANCIAL GROUP, LLC	CETERA ADVISOR NETWORKS LLC	Dec 31, 2025	May 8, 2019	-2,429	Firm change after gap	Other
CETERA INVESTMENT ADVISERS LLC	SOVEREIGN WEALTH ADVISORS LLC	Feb 7, 2025	Jun 2, 2025	115	Firm change	Ibd to RIA
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT ADVISERS LLC	Jun 29, 2023	Jun 29, 2023	0	Bulk transfer	Ibd to ibd
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	HALL & NORTH FINANCIAL GROUP, LLC	Jan 16, 2008	Jan 14, 2008	-2	Firm change	Other

Relationships

Registered with (5)

→ SOVEREIGN WEALTH ADVISORS LLCRegistered adviserregistration: current employment
Jun 2, 2025 to presentfactForm ADV
→ HALL & NORTH FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Jan 14, 2008 to Dec 31, 2025factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Feb 7, 2025factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
May 8, 2019 to Jun 29, 2023factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Jan 2, 2002 to Jan 16, 2008factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
Stephen Craig Hall left Hall & North Financial Group, Llc for Cetera Advisor Networks Llc (registered 2019-05-08)
Form ADVobserved 6 days ago
Occurred
Feb 7, 2025
Advisor changed firm
Stephen Craig Hall left Cetera Investment Advisers Llc for Sovereign Wealth Advisors Llc (registered 2025-06-02)
Form ADVobserved 6 days ago