Peter A. Winer

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CRD#: 1634625

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Peter Alan Winer was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2011 - March 25, 2011

PROVIDENCE WEALTH MANAGEMENT LLC

RIA

CRD#: 144902

FRANKLIN, TN

Past

January 5, 2011 - April 13, 2012

CENTER STREET SECURITIES, INC.

CRD#: 26898

FRANKLIN, TN

Past

January 25, 2007 - January 14, 2009

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

NASHVILLE, TN

Past

November 21, 2002 - December 31, 2004

MONY SECURITIES CORPORATION

RIA

CRD#: 4386

TIMONIUM, MD

Past

September 19, 2002 - December 31, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

May 6, 2001 - September 18, 2002

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

HUNT VALLEY, MD

Past

May 3, 1999 - September 18, 2002

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 4, 1999 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

November 11, 1991 - December 31, 1995

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 30, 1987 - December 31, 1989

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

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".

PROVIDENCE WEALTH MANAGEMENT LLC

CRD#: 144902 / SEC#: 801-123273

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

Louisiana

Registered Investment Advisory firm - (1/25/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (1/24/2023 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 12/18/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/27/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROVIDENCE WEALTH MANAGEMENT LLC

CRD#: 144902 / SEC#: 801-123273

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

Louisiana

Registered Investment Advisory firm - (1/25/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (1/24/2023 Terminated)

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Contact information

Main Address

2030 Falling Waters Road Suite 175, Knoxville, TN 37922

Mailing Address

Phone number

(865) 691-6699

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A SEC (3/13/2025)

Regulatory assets under management

Total Number of Accounts	635
AUM (Assets Under Management)	$ 129,236,227

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

Peter A. Winer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTER STREET SECURITIES, INC.

BROOKSTONE CAPITAL MANAGEMENT LLC

MONY SECURITIES CORPORATION

MONY SECURITIES CORPORATION

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

WOODBURY FINANCIAL SERVICES, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

Primary Firm SEC Registration

PROVIDENCE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/2010

Series 65

Date: 12/27/1999

Series 7

Date: 12/20/2010

Series 6

Date: 12/29/1998

Current Firm

PROVIDENCE WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROVIDENCE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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