Stephen C. Hall

SCH ADVISORS

HOUSTON, TX

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CRD#: 2228431

Professional summary

Stephen Craig Hall, who also goes by Craig Hall, is a registered financial advisor currently at SCH ADVISORS, LLC located in Houston, Texas and SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Craig Hall

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.

1 - 01/2025 - SCH ADVISORS, LLC - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 10 Hours During Trading - At reported business location(s). 2 - 01/2025 - HUCKLEBERRY VENTURES, LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 1 Hour/Month - TX 770982 - OBA Start Date: 01/01/2015. 3- 02/05/2025- SCH ADVISORS, LLC- Registered Investment Advisor- INV Related- At Reported Business Location(s)- Start date 01/01/2025- 160 Hours Per Month- 10 Hour During Trading- I temporarily provide limited services through SCH Advisors, LLC, an independent investment advisor firm, for purposes of transitioning assets to the LPL Financial RIA. I started this activity in 1/2025, and expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Craig Hall'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®

None

Experience

Current

January 14, 2008 - Present

SCH ADVISORS, LLC

RIA

CRD#: 146007

HOUSTON, TX

Current

June 2, 2025 - Present

SOVEREIGN WEALTH ADVISORS LLC

Office #1: 3120 Southwest Frwy Suite 500, Houston, TX 77098

RIA

CRD#: 188524

Houston, TX

Current

January 31, 2025 - Present

LPL FINANCIAL LLC

Office #1: 3120 Southwest Fwy Ste 500, Houston, TX 77098

RIA

CRD#: 6413

HOUSTON, TX

Past

June 29, 2023 - February 7, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

HOUSTON, TX

Past

May 8, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

HOUSTON, TX

Past

January 17, 2008 - February 7, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HOUSTON, TX

Past

January 2, 2002 - January 16, 2008

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

HOUSTON, TX

Past

September 13, 1996 - January 16, 2008

ASSOCIATED SECURITIES CORP.

CRD#: 12969

HOUSTON, TX

Past

April 7, 1992 - July 17, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

SOVEREIGN WEALTH ADVISORS LLC

SOVEREIGN INVESTMENT GROUP LLC | SOVEREIGN WEALTH ADVISORS LLC

CRD#: 188524 / SEC#: 801-98346

RIA

Registered Investment Advisory firm - (6/11/2015 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Louisiana
(8/10/2020)

Pennsylvania
(1/31/2025)

IAR

Texas
(1/14/2008)

Texas
(1/31/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/6/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOVEREIGN WEALTH ADVISORS LLC

SOVEREIGN INVESTMENT GROUP LLC | SOVEREIGN WEALTH ADVISORS LLC

CRD#: 188524 / SEC#: 801-98346

RIA

Registered Investment Advisory firm - (6/11/2015 Approved)

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Contact information

Main Address

3120 Southwest Frwy Suite 500, Houston, TX 77098

Mailing Address

500 North Shoreline Blvd. #400, Corpus Christi, TX 78401

Phone number

(713) 527-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWA FORM ADV PART 2A FIRM BROCHURE MARCH 30, 2025 (4/15/2025)

Regulatory assets under management

Total Number of Accounts	1,870
AUM (Assets Under Management)	$ 607,035,864

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.

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Firm Stability Insights

Stephen C. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Craig Hall's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN WEALTH ADVISORS LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

LPL FINANCIAL LLC

Primary Firm SEC Registration

SOVEREIGN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/1992

SIE

Date: 10/1/2018

Series 7

Date: 4/6/1992

Series 24

Date: 5/18/2002

FINRA

Current Firm

SOVEREIGN WEALTH ADVISORS LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN WEALTH ADVISORS LLC

TRUST BUT VERIFY

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