Broker Check

Rob Lee

Rob Lee, CFP® CRPS®

Rob is a CERTIFIED FINANCIAL PLANNERTM professional and a Chartered Retirement Plan Specialist (CRPS). He is a graduate of Southwestern University, earned a Masters in Economics from Texas A&M and has served as an adjunct professor of Economics at the University of Indianapolis and HCC. Rob has 29 years of experience having served as a Wealth Management Advisor in the Private Client Group at J.P Morgan and Merrill Lynch. Rob’s experience includes providing strategies for trust services, structured insurance settlements, needs of for profit and not-for-profit organizations focusing on membership and fund raising and total wealth management for individuals and families.

At Sovereign, Rob serves on the Investment Committee and contributes economic insight for staff meetings.


State Securities Law Exam
Series 65 – Uniform Investment Adviser Law Examination held through Sovereign Wealth Advisors, LLC. All other licenses held through LPL Financial.
Series 63 – Uniform Securities Agent State Law Examination

General Industry/Products Exam
Series 7 – General Securities Representative Examination

Series 63 and 7 held through LPL Financial. Series 65 held through Sovereign Wealth Advisors, LLC

State Registrations
Arizona, Connecticut, Louisiana, Maryland, Missouri, South Carolina, South Dakota, Texas

SRO Registrations

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