Steve McHale Bio

Steve is a graduate of the United States Military Academy at West Point, NY and earned a Masters in Business Administration from the University of Houston. He has over 20 years of experience in the financial industry having served as a Wealth Management / Financial Advisor in the Private Client Groups at Merrill Lynch and Southwest Securities prior to joining LPL. Steve’s experience includes providing financial advice and services to small and mid-size companies, as well as investment management for individuals and families.

Credentials

State Securities Law Exam
Series 65 – Uniform Investment Adviser Law Examination
Series 63 – Uniform Securities Agent State Law Examination

General Industry/Products Exam
Series 31 – Futures Managed Funds Examination
Series 7 – General Securities Representative Examination

Series 63, 31 and 7 held through LPL Financial. Series 65 held through Sovereign Wealth Advisors, LLC

State Registrations
Colorado, New York, Texas, Washington

SRO Registrations
FINRA

With over 26 years of managerial experience, Jenn Moore possesses a comprehensive background in operations, account, and sales management. Throughout her professional journey in the financial industry, she consistently delivers excellent service and cultivates valuable relationships with her colleagues.

Outside the office, Jenn finds fulfillment in spending quality time with her adult children during family game nights. She also enjoys outdoor activities such as cycling with her husband and cherishes moments with her Rhodesian Ridgeback, Charlie.

Tomiko Arthur has been in the financial services industry for over 25 years.  Beginning with a Broker- Dealer as a Licensing temp and developing a love for Finance, it evolved into a lifelong career. She currently holds a Series 65 license, a Texas Life and Health insurance license, and the SIE.

She has gained knowledge and experience from a wealth of financial institutions, including a State Bank, a National Clearing Firm, boutique wealth management firms, and a Trust company, serving in various roles and capacities, always with a focus on concierge-level client service.

 Tomiko is originally from Southern Louisiana and has called Houston home for many years.  She graduated high school locally and attended Texas A&M University, where she joined her beloved sorority, Zeta Phi Beta, Inc., which is known for service to others, and she continues to volunteer in that spirit.

 She is a mom to three wonderful boys. She is currently on the Board of Directors of her Homeowner’s Association and has been an active community member for over 20 years. Tomiko also enjoys mentoring youth through her Church.