Business Description

To help clients meet their financial goals through high quality, professional investment services. This can only be accomplished by working with the client to determine their risk profile and goals and then implementing an investment strategy within that framework.

Providence Financial Advisors is a Registered Investment Advisor and only recieves fees from clients. This allows us complete freedom in implementing the investment portfolio for our clients.

Providence utiliizes time tested investment disciplines to build portfolios and believes it is important to take a long term approach to investing.

General Information

Gender:

Male

CRD#:

2084626

Firm CRD#:

124839

Name of Custodial Firm:

Schwab

States Licensed in:

KS, MO

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

BA, Business Administration and Religious Studies - Southwest Baptist University (1982)

Services

Investment Types:

Real Estate, Bonds, Stocks, Alternative Investments

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Financial Analyst (CFA)

Financial Organization Memberships:

CFA Institute, Paladin Registry

Non-Financial Organization Memberships:

National Center For Fathering, Hope Network

Firm Information

Number of Advisors in Office:

Up to 10 employees

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$23,500,000

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-only financial professional:

Yes

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets, Flat Fee, Hourly

Fee % Based on Assets:

Hourly Rate:

$150

Additional Details on Charges:

Assets under management start at 1% and taper down based on overall asset level.

Minimum Fee Charged for Hourly Planning Accounts:

$500

Prepared By:

Steven Cox, CFA