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Current Employers
Provenance Wealth Advisors

200 East Las Olas Boulevard 19Th Floor, Fort Lauderdale, FL 33301 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-09-01
NV RA APPROVED 2023-08-31
MI RA APPROVED 2023-08-29
NC RA APPROVED 2023-08-28
WI RA APPROVED 2023-08-28
WY RA APPROVED 2023-08-28
NY RA APPROVED 2023-08-25
TX RA APPROVED 2023-08-25
UT RA APPROVED 2023-08-25
FL RA APPROVED 2015-03-30
  • NJ RA
    APPROVED
    Since 2023-09-01
  • NV RA
    APPROVED
    Since 2023-08-31
  • MI RA
    APPROVED
    Since 2023-08-29
  • NC RA
    APPROVED
    Since 2023-08-28
  • WI RA
    APPROVED
    Since 2023-08-28
  • WY RA
    APPROVED
    Since 2023-08-28
  • NY RA
    APPROVED
    Since 2023-08-25
  • TX RA
    APPROVED
    Since 2023-08-25
  • UT RA
    APPROVED
    Since 2023-08-25
  • FL RA
    APPROVED
    Since 2015-03-30

Branch Locations

200 East Las Olas Boulevard 19Th Floor, Fort Lauderdale, FL 33301 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Miami FL 01/2015 08/2023
Raymond James Financial Services Advisors Inc. Miami FL 02/2015 08/2023
Provenance Wealth Advisors Miami FL 05/2015 Present
Pwa Securities, Llc Miami FL 08/2023 Present
Previous Registrations
Other Businesses

Provenance Wealth Advisors RIA -/ 200 E. Las Olas Blvd 19th FL Ft.Lauderdale, FL 33301 / Investment Advisor Jan 2016 / 20 hrs per week/ Financial Planning

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-07-24
S63 Uniform Securities Agent State Law Examination 2010-02-05
  • S65 Uniform Investment Adviser Law Examination
    2010-07-24
  • S63 Uniform Securities Agent State Law Examination
    2010-02-05
Other Names
  • Shane David Phillips
  • Shane D Phillips
  • Shane Phillips

View on SEC IAPD

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