Martha E. Swain

PROVENANCE WEALTH ADVISORS

Fort Lauderdale, FL 33301

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CRD#: 1533798

Professional summary

Martha Ellen Swain, CFP®, who also goes by Martha Ellen Fick, Martha Ellen Swain, is a registered financial advisor currently at PROVENANCE WEALTH ADVISORS located in Fort Lauderdale, Florida and PWA SECURITIES, LLC located in Fort Lauderdale, Florida.

Martha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Martha has worked at 8 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Martha Ellen Fick | Martha Ellen Swain

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.

Provenance Wealth Advisors. Address: Fort Lauderdale, FL Nature of the Business: Independent RIA Position/Title: Employee Investment Related: Yes Start Date: 12/05/2013 Hours per month devoted to this business: 160 Hours per month devoted to this business during trading hours: 120 Description of duties: Sell long term care, fixed annuities and disability insurance through various agencies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martha Ellen Swain'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®

CFP^®

Certified Financial Planner

Experience

Current

April 28, 2011 - Present

PROVENANCE WEALTH ADVISORS

Office #1: 200 East Las Olas Boulevard 19th Floor, Fort Lauderdale, FL 33301

RIA

CRD#: 126529

Fort Lauderdale, FL

Current

August 25, 2023 - Present

PWA SECURITIES, LLC

Office #1: 200 East Las Olas Blvd 19th Floor, Fort Lauderdale, FL, 33301

CRD#: 321974

Fort Lauderdale, FL

Past

September 11, 2013 - August 25, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

FORT LAUDERDALE, FL

Past

August 30, 2013 - August 25, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

FT. LAUDERDALE, FL

Past

December 7, 2010 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

FORT LAUDERDALE, FL

Past

July 10, 2007 - November 12, 2010

SIGNATOR INVESTORS, INC.

CRD#: 468

BOCA RATON, FL

Past

June 10, 2004 - June 25, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

FT LAUDERDALE, FL

Past

January 16, 2001 - May 3, 2004

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

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
(4/28/2011)

Florida
(8/25/2023)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/15/2001

Investment Company Products/Variable Contracts Representative 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.

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Advisor Monitoring

Firm Stability Insights

Martha E. Swain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martha Ellen Swain'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.

SIGNATOR INVESTORS, INC.

MML INVESTORS SERVICES, LLC

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

PROVENANCE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 1/15/2001

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

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