SM
Stephen J. Mchale
SOVEREIGN WEALTH ADVISORS LLC
Houston, TX 77098
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CRD#: 2864314
SM
Professional summary
Stephen John Mchale, CFP®, who also goes by Stephen J Mchale, Steve Mchale, is a registered financial advisor currently at SOVEREIGN WEALTH ADVISORS LLC located in Houston, Texas and LPL FINANCIAL 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 1997. Stephen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen J Mchale | Steve Mchale
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) 03/17/2015 - REFEREE - SOCCER REFEREE - TIME SPENT 10 HOURS PER MONTH - HOUSTON, TX.
2) 11/02/2017 - Sovereign Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 09/29/2017 - 160 Hours Per Month/35 During Securities Trading
3) 01/05/2018 - Sovereign Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 09/29/2017 - 160 Hours Per Month/35 Hours During Securities Trading - I provide investment advisory services through Sovereign Wealth Advisors LLC, an independent investment advisor firm. I started this business activity in 09/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen John Mchale's 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®
Experience
Current
January 17, 2020 - Present
SOVEREIGN WEALTH ADVISORS LLC
Office #1: 3120 Southwest Frwy Suite 500, Houston, TX 77098RIA
CRD#: 188524
Houston, TX
Current
July 3, 2014 - Present
LPL FINANCIAL LLC
Office #1: 3120 Southwest Fwy Ste 500, Houston, TX 77098RIA
BD
CRD#: 6413
HOUSTON, TX
Past
November 15, 2017 - December 31, 2019
SOVEREIGN WEALTH ADVISORS LLC
RIA
CRD#: 188524
HOUSTON, TX
Past
July 3, 2014 - March 16, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
June 12, 2009 - July 30, 2014
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
HOUSTON, TX
Past
April 6, 2009 - July 30, 2014
HILLTOP SECURITIES INC.
BD
CRD#: 6220
HOUSTON, TX
Past
May 5, 1997 - April 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
April 24, 1997 - April 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
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".
SW
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.RR
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
RR
Colorado(3/25/2015)
RR
New York(7/3/2014)
RR
South Dakota(9/30/2022)
RR
Texas(7/3/2014)
IAR
Texas(1/17/2020)
RR
Washington(7/3/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SOVEREIGN WEALTH ADVISORS LLC
SOVEREIGN INVESTMENT GROUP LLC | SOVEREIGN WEALTH ADVISORS LLC
CRD#: 188524 / SEC#: 801-98346
RIA
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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
38
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,870 |
| AUM (Assets Under Management) | $ 607,035,864 |
Red Flags
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Company Information
SOVEREIGN WEALTH ADVISORS LLC
CRD#: 188524Houston, TX 77098TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
