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Stephen John McHale

Sovereign Wealth Advisors LLC

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About Stephen John McHale

Stephen McHale is a financial advisor in Houston, Texas. Stephen has been working in the financial services industry since 1997. Stephen is registered with Sovereign Wealth Advisors LLC, and holds the Series 7, 31, 63 and 65 licenses. Stephen has a background in financial planning and portfolio management and has experience working with individuals, families, and businesses. Stephen is a Certified Financial Planner. Stephen is also a referee for the Houston area soccer league.

Firm Information

Stephen McHale is currently registered with Sovereign Wealth Advisors LLC. Sovereign Wealth Advisors LLC is a Houston, TX-based registered investment advisor with 31 investment advisor representatives and over $547 million in regulatory assets under management. The firm offers financial planning, pension consulting, and portfolio management services to high-net-worth individuals, corporations, pension plans, charitable organizations, and individuals other than high-net-worth.
Sovereign Wealth Advisors LLC

3120 SOUTHWEST FRWY

HOUSTON, TX 77098

$547.40M

Assets Under Management

5

Total Clients

25

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen McHale’s Registration & Firm History

TX

01/17/2020 - Present

Sovereign Wealth Advisors LLC (HOUSTON TX)

TX

04/06/2009 - 07/30/2014

SOUTHWEST SECURITIES, INC. (HOUSTON TX)

TX

04/24/1997 - 04/13/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)

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Licenses & Designations

IA

Issued 05/09/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/02/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/10/2003

Series 31 - Futures Managed Funds Examination

BC

Issued 04/23/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Stephen John McHale. Review regulatory record here.
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