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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

ROBERT EDWARD LEE

Advisor at SOVEREIGN WEALTH ADVISORS LLC

HOUSTON, TX

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Search this name across graphsid dfx:ria:90be9f3f-a31a-31e4-75ed-89b66af4b613

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 1, 1998 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 11, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 11, 1994
First registration: Jul 1, 1998
Dual registered: yes, broker-dealer
Other names: ROB LEE
IAPD individual key: 1363282

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	Nov 15, 2017	Dec 31, 2019	no	HOUSTON, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 11, 2006	Aug 18, 2014	no	HOUSTON, TX	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Sep 27, 2006	Dec 4, 2006	no	HOUSTON, TX	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Jul 1, 1998	Sep 27, 2006	no	HOUSTON, TX\|CHICAGO, IL\|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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SOVEREIGN WEALTH ADVISORS LLC	Aug 18, 2014	Nov 15, 2017	1,185	Firm change after gap	Other
J.P. MORGAN SECURITIES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 4, 2006	Dec 11, 2006	7	Firm change	Other
BANC ONE SECURITIES CORPORATION	J.P. MORGAN SECURITIES INC.	Sep 27, 2006	Sep 27, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ SOVEREIGN WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Nov 15, 2017 to Dec 31, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 11, 2006 to Aug 18, 2014factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Sep 27, 2006 to Dec 4, 2006factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jul 1, 1998 to Sep 27, 2006factForm ADV

Dated events

No dated event names this entity yet.