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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Teresa Michele Theobald

Advisor at SOVEREIGN WEALTH ADVISORS LLC

HOUSTON, TX

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Search this name across graphsid dfx:ria:8a2088d3-dada-93c5-d9a7-74b0ee7a6848

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 19, 2004 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: Nov 5, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 5, 2004
First registration: Nov 19, 2004
Dual registered: yes, broker-dealer
Other names: TERESA MICHELE CASTILLO
IAPD individual key: 4836785

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	Jan 17, 2020	n/a	yes	HOUSTON, TX	Current employment
SOVEREIGN WEALTH ADVISORS LLC	Independent wealth	Mar 30, 2017	Dec 31, 2019	no	HOUSTON, TX	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Mar 20, 2012	Mar 29, 2017	no	HOUSTON, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 28, 2012	no	HOUSTON, TX\|Houston, TX\|Houston, TX\|Houston, TX	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	HOUSTON, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 19, 2004	Apr 2, 2007	no	HOUSTON, TX\|WEBSTER, 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
RBC CAPITAL MARKETS, LLC	SOVEREIGN WEALTH ADVISORS LLC	Mar 29, 2017	Mar 30, 2017	1	Firm change	Other
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	Mar 28, 2012	Mar 20, 2012	-8	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ SOVEREIGN WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Mar 30, 2017 to Dec 31, 2019factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Mar 20, 2012 to Mar 29, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 28, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 19, 2004 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.