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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

STEPHEN SCOTT BARBER

Advisor at SOVEREIGN WEALTH ADVISORS LLC

HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 10, 2003 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: Mar 7, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom 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: Mar 7, 2003
First registration: Mar 10, 2003
Dual registered: yes, broker-dealer
Other names: STEPHEN DONALD BARBER|STEPHEN SCOTT BARBER|SCOTT BARBER|SCOTT BARBER|STEPHEN SCOTT BARBER
IAPD individual key: 4617523

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 24, 2020	n/a	yes	HOUSTON, TX	Current employment
SOVEREIGN WEALTH ADVISORS LLC	Independent wealth	Jun 30, 2015	Dec 31, 2019	no	HOUSTON, TX\|CORPUS CHRISTI, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 12, 2009	no	Rockport, TX	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	CORPUS CHRISTI, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 1, 2005	Apr 2, 2007	no	CORPUS CHRISTI, TX\|CORPUS CHRISTI, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 10, 2003	Jul 28, 2005	no	CORPUS CHRISTI, 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
MORGAN STANLEY	SOVEREIGN WEALTH ADVISORS LLC	Oct 12, 2009	Jun 30, 2015	2,087	Firm change after gap	Wirehouse to new firm
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
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	Jul 28, 2005	Jul 1, 2005	-27	Firm change	Other

Relationships

Registered with (5)

→ SOVEREIGN WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Jun 30, 2015 to Dec 31, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 12, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 1, 2005 to Apr 2, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 10, 2003 to Jul 28, 2005factForm ADV

Dated events

No dated event names this entity yet.