Charlie Fahy

Managing Director

45 Years of Industry Experience

Charles Fahy served in the United States Army as a 1st Lieutenant in the Infantry before receiving his Honorable discharge in 1972. He is a graduate of the University of Georgia. He grew up in Buenos Aires Argentina and is fluent in Spanish. His Wall Street career started with E.F. Hutton in 1972. He has also been with Oppenheimer & Co. and J.C. Bradford & Co., which was acquired by Paine Webber then later acquired by UBS Financial Services.

Charles has enjoyed writing about investments in his spare time. He authored The Streetwise Investor, Probus Publishers 1992, Option Writing Techniques, Prentice Hall Inc. 1972, IRA Rollovers for the Corporate Employee, Prentice Hall Inc. 1978, and Certificates Of Deposit : A Flexible Safe Investment, Prentice Hall Inc. 1990. He also wrote an investment column for the Fort Bend Lifestyle Magazine 1986-2004. He is the creator of the Diversified Portfolio Index.

The Houston Chronicle, the Houston Business Journal and the Individual Investor Magazine have all written article about Charles. He also enjoyed being the host of Money Talks, a live local Houston T.V. talk show from 1989-1993. Financial Planning on Wall Street, August 1994 featured Charles as their cover story and also in their September issue article “One of The Best New Brokers in the U.S.”

Charles currently resides in Sugar Land, Texas with his wife Janet. They have enjoyed raising five children there.

  • Present Sovereign Investment Group , Securities offered through LPL Financial, Member NASD/SIPC
  • 2004-2014 James E. Bashaw & Co, Sr. Vice President, Securities offered through LPL Financial, Member NASD / SIPC
  • 2002 Invented the Diversified Portfolio Index
  • 2000-2004 UBS Financial Services, Sr. Vice President
  • 1999-2000 J.C. Bradford & Co., Partner (Acquired August 2000 by PaineWebber)
  • 1981-1999 Oppenheimer & Co., Inc., Sr. Vice President (Acquired by C.I.B.C. Bank of Canada)
  • 1972-1981 E. F. Hutton & Co., Vice President
  • 1970-1972 United States Army Infantry, First Lieutenant
  • 1966-1970 University of Georgia, Graduated with Bachelors in International Affairs and Economics
  • 1956-1966 Buenos Aires, Argentina
  • 1947 Born in Santiago, Chile while father [Colonel A.F.Fahy Jr.] was stationed as Chief of the U.S. Air force Mission to Chile


  • The Streetwise Investor, Probus Publishers 1992 (McGraw-Hill Publishers) Published in U.S., England and Pacific Rim.
  • Contributing Author: How to Invest Today in the 90s, H. Holt Publisher 1995

Featured in:

  • Market Shock: More than Fifty Insiders Tell how to Survive and Profit from today’s Global Financial Revolution, Wiley Publisher, by Mark Fadiman, Editor, Financial Planning on Wall Street.
  • Financial Advisor, Sept. 2007 Breaking the Mold by Sydney Le Blanc

Brochures Authored by Mr. Fahy:

  • Option Writing Techniques, 1974 Prentice Hall, Inc.
  • IRA Rollovers for the Corporate Employee, Prentice Hall, Inc. This publication started in 1978 and ran for 17 years for Savings and Loans, Banks, Insurance Companies and Investment Firms.
  • Certificates of Deposit: A Flexible Safe Investment, Prentice Hall, Inc. 1990

Articles on Mr. Fahy:

  • London Financial Times
  • Houston Chronicle
  • Houston Post
  • Houston Business Journal
  • Fort Bend Advocate
  • Houston DBA Magazine
  • Individual Investor Magazine
  • Sugar Creek Monthly
  • Ultra Magazine
  • Port Arthur News

Private Clubs:

  • Financial Planning on Wall Street, August 1994 (The subject of their cover story) and again September 1994 (Featured as “One Of The Best 100 New Brokers in the U.S.”)
  • The Meyers Report (A financial column syndicated for U.S. newspapers)
  • Registered Representative Magazine (The subject of their cover story and various others)


  • Business Radio 650AM Commentator


  • Fox Financial Analyst, Fox 26 News, Houston
  • Host of Money Talks, City of Houston Educational Channel, 1989-1993
  • Appearances on Houston’s ABC Channel 13 and PBS Channel 8.

Speaking Engagements:

  • Harvard Alumni Club of Houston
  • Institute of Investment Management Consultants
  • Houston Savings and Loan Association
  • Norton, Jacobs & Kuhn Venture Capital Breakfast
  • Physician Support Service (HCA)
  • 104th and 106th Annual Conference of Commercial Law League of America, 1998 and 2000 (key note speaker)

Published Articles:

  • Fort Bend and Lifestyles Magazine monthly since 1986
  • Registered Representatives
  • Clear Lake Lifestyles Magazine
  • West University Magazine
  • Utah Prime Times Newspaper
  • Physician Assets Magazine
  • M.D. News
  • RO Magazine
  • Village Magazine
  • Memberships/Education
  • Heritage Foundation 2000
  • Attendee to the CATO/Economist Conference on Solving the Global Public Pension Crisis 1997 London, England
  • Who’s Who in the Finance and Industry 1991
  • Who’s Who in Emerging Leaders in America
  • Who’s Who in the World 1993
  • St. Lawrence Catholic Church, Sugar Land
  • Board Member of the Houston Heritage Club 1984-1994
  • Institute of Investment Management Consultant, by IIMC 1992-1995
  • IIMC Ethic Committee 1991
  • Certified Investment Management Consultant, by IIMC 1991
  • City of Sugar Land Economic Development Council 1988
  • U.S. Army 1st Lt. 1970-1972, Honorable Medical Discharge
  • Graduate of the University of Georgia, BA in International Affairs and Economics
State Securities Law Exam

Series 66 – Uniform Combined State Law Examination
Series 63 – Uniform Securities Agent State Law Examination

General Industry/Products Exam

PC – AMEX Put and Call Exam
Series 1 – Registered Representative Examination

State Registrations

Florida, Georgia, Pennsylvania, Tennessee, Texas, Virginia

SRO Registrations