William G. Mckenna

PROVENANCE WEALTH ADVISORS

MASON, OH 45040

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CRD#: 1029691

Professional summary

William Gerard Mckenna is a registered financial advisor currently at PROVENANCE WEALTH ADVISORS located in Mason, Ohio and PWA SECURITIES, LLC located in Mason, Ohio.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. William has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) Name of Business: NA Address: 8571 Mason-Montgomery Road, Suite 38, Mason, OH, 45040, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 10/01/2008 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 11-20 Description of duties: I currently sell fixed insurance, long-term care, fixed annuities and disability insurance through various agencies. (2) Name of Business: Provenance Wealth Advisors Address: 8571 Mason Montgomery Rd Ste 38, Mason, OH, 45040, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 04/01/2013 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Fee-base financial planning. (3) Name of Business: Providence Consulting and Wealth Advisors, LLC Address: 8571 Mason-Montgomery Road, Suite 38, Mason, OH, 45040, United States Activity Type: Other Position/Title: Coach Investment Related: Yes Start Date: 10/01/2008 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 11-20 Description of duties: Coaching of planners, consulting, and public speaking in financial services industries.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Gerard Mckenna's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 8, 2013 - Present

PROVENANCE WEALTH ADVISORS

Office #1: 8571 Mason-montgomery Suite 38, Mason, OH 45040

RIA

CRD#: 126529

MASON, OH

Current

August 25, 2023 - Present

PWA SECURITIES, LLC

Office #1: 8571 Mason Montgomery Road, Suite 38, Mason, OH 45040

CRD#: 321974

Mason, OH

Past

September 6, 2013 - August 25, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

MASON, OH

Past

August 30, 2013 - August 25, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MASON, OH

Past

April 2, 2013 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

MASON, OH

Past

April 1, 2013 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

MASON, OH

Past

November 12, 2008 - February 8, 2013

OSAIC FA, INC.

RIA

CRD#: 3978

CINCINNATI, OH

Past

November 6, 2008 - February 8, 2013

OSAIC FA, INC.

CRD#: 3978

CINCINNATI, OH

Past

February 1, 2006 - July 28, 2008

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CINCINNATI, OH

Past

January 18, 2006 - July 28, 2008

MML INVESTORS SERVICES, LLC

CRD#: 10409

CINCINNATI, OH

Past

July 31, 1999 - January 3, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

June 1, 1998 - January 3, 2006

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 10, 1982 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROVENANCE WEALTH ADVISORS

PROVENANCE WEALTH ADVISORS | PROVENANCE WEALTH ADVISORS, LLC

CRD#: 126529 / SEC#: 801-113505

RIA

Registered Investment Advisory firm - (6/25/2018 Approved)

Ohio

Registered Investment Advisory firm - (5/12/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Florida
(6/18/2013)

Florida
(10/30/2025)

IAR

Georgia
(8/28/2023)

IAR

Hawaii
(12/20/2024)

IAR

Illinois
(8/25/2023)

Illinois
(6/28/2024)

Michigan
(8/25/2023)

IAR

Michigan
(8/25/2023)

North Carolina
(7/25/2024)

IAR

North Carolina
(12/20/2024)

IAR

Ohio
(4/8/2013)

Ohio
(8/25/2023)

Pennsylvania
(8/25/2023)

South Carolina
(8/25/2023)

Virginia
(3/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/19/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/1993

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/29/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/19/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PROVENANCE WEALTH ADVISORS

PROVENANCE WEALTH ADVISORS | PROVENANCE WEALTH ADVISORS, LLC

CRD#: 126529 / SEC#: 801-113505

RIA

Registered Investment Advisory firm - (6/25/2018 Approved)

Ohio

Registered Investment Advisory firm - (5/12/2023 Terminated)

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Contact information

Main Address

200 East Las Olas Boulevard 19th Floor, Fort Lauderdale, FL 33301

Mailing Address

Phone number

(954) 712-8888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROVENANCE WEALTH ADVISORS WRAP PROGRAM BROCHURE APPENDIX 1 (10/3/2025)

PROVENANCE WEALTH ADVISORS ADV PART 2A BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	4,221
AUM (Assets Under Management)	$ 3,523,875,805

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

William G. Mckenna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Gerard Mckenna's CRS (Customer Relationship Summary).

Certified licenses

Experience

PWA SECURITIES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

OSAIC FA, INC.

OSAIC FA, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

PROVENANCE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 2/19/1982

SIE

Date: 10/1/2018

Series 7

Date: 1/18/1993

Series 22

Date: 4/29/1982

Series 6

Date: 2/19/1982

Series 24

Date: 7/9/1992

FINRA

Current Firm

PROVENANCE WEALTH ADVISORS

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROVENANCE WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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