Steven R. McGowan

ROTHSCHILD WEALTH LLC | Vice President, Financial Advisor

Oakbrook, IL 60523

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CRD#: 6316819

Professional summary

Steven McGowan, who also goes by Steven Mcgowan, is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Steven has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Biography

Steven joined Wealth Enhancement Group in 2017 via the merger with CLA Financial Advisors, where he had been a team member since 2015. Previously, he worked as a paraplanner at a small Minneapolis-based financial planning firm that focused on addressing physicians’ specific financial needs. In his spare time, Steven enjoys playing golf and basketball and spending time with his family and friends.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Mcgowan

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.

Rothschild Investment, LLC - Investment Related - At Reported Business Location(s) - Registered Representative Hybrid - 80 Hours Per Month - I provide investment brokerage services through Rothschild Investment, LLC. I started this business activity on 09.15/2025. 40 hours/month on this activity during securities trading hours, 0 hours/per month outside of securities trading hours. This dual-registration is approved and supervised by both entities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven McGowan'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

September 15, 2025 - Present

ROTHSCHILD WEALTH LLC

Office #1: 700 Commerce Drive Suite 170, Oakbrook, IL 60523

RIA

CRD#: 162442

Oakbrook, IL

Current

September 15, 2025 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618

RIA

CRD#: 728

Chicago, IL

Past

December 5, 2018 - July 18, 2025

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139

ITASCA, IL

Past

November 26, 2018 - June 30, 2025

LPL FINANCIAL LLC

CRD#: 6413

ITASCA, IL

Past

March 6, 2017 - July 18, 2025

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

ITASCA, IL

Past

March 24, 2016 - March 1, 2017

CLA FINANCIAL ADVISORS, LLC

RIA

CRD#: 156438

NORTHBROOK, IL

Past

January 9, 2015 - August 24, 2015

MD FINANCIAL ADVISORS / VESTMENT FINANCIAL

RIA

CRD#: 168771

CHANHASSEN, MN

Past

August 25, 2014 - December 31, 2014

MD FINANCIAL ADVISORS / VESTMENT FINANCIAL

RIA

CRD#: 168771

CHANHASSEN, MN

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".

ROTHSCHILD WEALTH LLC

REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA

Registered Investment Advisory firm - (4/16/2012 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

Illinois
(9/15/2025)

IAR

Illinois
(9/15/2025)

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: 12/3/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/10/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/26/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/26/2018

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ROTHSCHILD WEALTH LLC

REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA

Registered Investment Advisory firm - (4/16/2012 Approved)

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Contact information

Main Address

700 Commerce Drive Suite 170, Oakbrook, IL 60523

Mailing Address

Phone number

(630) 448-5711

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROTHSCHILD WEALTH ADV PART 2A (4/29/2025)

Regulatory assets under management

Total Number of Accounts	2,878
AUM (Assets Under Management)	$ 751,143,585

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.

Contact information

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Advisor Monitoring

Firm Stability Insights

Steven R. McGowan

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven McGowan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHSCHILD INVESTMENT LLC

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

LPL FINANCIAL LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CLA FINANCIAL ADVISORS, LLC

MD FINANCIAL ADVISORS / VESTMENT FINANCIAL

MD FINANCIAL ADVISORS / VESTMENT FINANCIAL

Primary Firm SEC Registration

ROTHSCHILD WEALTH LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/2018

Series 65

Date: 7/10/2014

Series 7TO

Date: 11/26/2018

SIE

Date: 11/26/2018

FINRA

Nasdaq Stock Market

Current Firm

ROTHSCHILD WEALTH LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROTHSCHILD WEALTH LLC

TRUST BUT VERIFY

Contact information

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