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KS

Kathleen A. Stovel

SOVRAN ADVISORS
PASADENA, CA 91101
Some features on this profile are disabled
CRD#: 2150016
KS

Professional summary

Kathleen Ann Stovel, CFP®, who also goes by Kathleen Ann Stovell, Kathleen Ann Welch, Kathleen Ann Winokur, is a registered financial advisor currently at SOVRAN ADVISORS, LLC located in Pasadena, California.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kathleen has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathleen Ann Stovell | Kathleen Ann Welch | Kathleen Ann Winokur

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Ann Stovel's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2005

Experience

Current

December 20, 2024 - Present

SOVRAN ADVISORS, LLC

Office #1: 150 S Los Robles Ave Suite 750, Pasadena, CA 91101
RIA
CRD#: 329415
PASADENA, CA
Past

December 19, 2024 - April 2, 2026

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

May 9, 2022 - December 20, 2024

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
Los Angeles, CA
Past

May 3, 2022 - December 20, 2024

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Los Angeles, CA
Past

January 3, 2011 - April 27, 2022

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
LOS ANGELES, CA
Past

January 3, 2011 - April 27, 2022

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
LOS ANGELES, CA
Past

July 2, 2003 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

RIA
CRD#: 34815
LOS ANGELES, CA
Past

March 28, 2000 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
LOS ANGELES, CA
Past

July 18, 1991 - February 18, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 18, 1991 - February 18, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
SOVRAN ADVISORS, LLC
COMPASS CAPITAL | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND INSURANCE SERVICES | OLIRIA FINANCIAL | J. SPENCER JONES WEALTH MANAGEMENT | INTEGRATIVE WEALTH PARTNERS PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | GREATER PACIFIC SOLUTIONS FINANCIAL & INSURANCE SERVICES | FINANCIAL HAUS | ENVISAGE WEALTH MANAGEMENT | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS

CRD#: 329415 / SEC#: 801-129342

RIA
Registered Investment Advisory firm - (1/12/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(12/20/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/21/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/16/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SA
SOVRAN ADVISORS, LLC
COMPASS CAPITAL | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND INSURANCE SERVICES | OLIRIA FINANCIAL | J. SPENCER JONES WEALTH MANAGEMENT | INTEGRATIVE WEALTH PARTNERS PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | GREATER PACIFIC SOLUTIONS FINANCIAL & INSURANCE SERVICES | FINANCIAL HAUS | ENVISAGE WEALTH MANAGEMENT | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS

CRD#: 329415 / SEC#: 801-129342

RIA
Registered Investment Advisory firm - (1/12/2024 Approved)
PREMIUM
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Contact information

Main Address
3131 Camino Del Rio N. Suite 800, San Diego, CA 92108
Mailing Address
Phone number
(619) 281-9890
Established
Firm type
Fiscal year end
# of Employees
58

SEC notice filing (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SOVRAN ADVISORS, LLC - FORM ADV PART 2A (12/2/2025)

Regulatory assets under management

Total Number of Accounts4,470
AUM (Assets Under Management)$ 1,308,617,291

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SOVRAN ADVISORS, LLC

CRD#: 329415Pasadena, CA 91101

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