Providence Capital Advisors, LLC
SEC RegisteredOffering guidance, direction & a clear path to investing.
About the firm
Providence Capital Advisors is a financial planning and investment management firm based in Charlotte, NC. The firm serves clients using a team-based approach, providing expertise in both the analysis of each client's financial needs and the investments selected in their portfolios.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Providence Capital Advisors offers financial planning and investment management services. Investment management includes four strategies utilizing individual securities: Core Equity, Covered Call, Diversified Income, and Fixed Income, as well as an Exchange-Traded Fund (ETF) portfolio and, in some circumstances, alternative investments including hedge funds, infrastructure, private real estate, private equity, and private credit. Allocations are customized for each client.
Who they serve
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 170 | $59M |
| High Net Worth Individuals | 254 | $999M |
| State/Municipal Entities | 5 | — |
Leadership
Office locations
Advisors at this firm
7 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Up to $500,000 | 1.50% |
| $500,001 - $1,000,000 | 1.25% |
| $1,000,001 - $5,000,000 | 1.00% |
| $5,000,001 - $15,000,000 | 0.75% |
| $15,000,001 - $25,000,000 | 0.60% |
| $25,000,001 & Over | 0.50% |
Data as of March 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Providence Capital Advisors, LLC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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