Todd A. Moll
PROVENANCE WEALTH ADVISORS | CIO
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 2134560
Professional summary
Todd Anthony Moll, CFP® is a registered financial advisor currently at PROVENANCE WEALTH ADVISORS located in Fort Lauderdale, Florida and PWA SECURITIES, LLC located in Fort Lauderdale, Florida.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Todd has worked at 10 firms and has passed the Series 66, Series 6TO, SIE, Series 7, Series 6, Series 51, Series 4 and Series 24 exams.
Biography
I am director and chief investment officer for Provenance Wealth Advisors. With more than 30 years of experience in financial services and investment management, I have developed a diverse client base. My role allows me to focus on incorporating my broad knowledge of financial planning matters into our clients’ investment strategies. Our team has helped numerous individuals and families move further towards or reach their financial goals.
As the firm’s chief investment officer, I head the investment committee and research team, as well as lead our investment division. I hold both Chartered Financial Analyst (2004) and CERTIFIED FINANCIAL PLANNER TM (1994) designations. As such, I place strong emphasis on forward-thinking investment and planning strategies.
I have been quoted in multiple publications, including The Sun-Sentinel, Us News and World Report, Forbes and the SEI Professional Business Journal. In addition, I have been named one of the top financial advisors in the United States by Barrons* in 2015, 2016, 2017, 2018 and 2019; Financial Times** (US edition) in 2015, 2016, 2017 and 2019 and Forbes*** top state-by-state rankings in 2018 and 2019.
*Factors included in the rankings for Barron’s Top Advisors: assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work.
**The formula Financial Times uses to grade advisors for the To Financial Advisors award is based on six broad factors and calculates a numeric score for each advisor. Areas of consideration include assets under management, asset growth, years of experience, industry certification, Financial Industry Regulatory Authority (FINRA) compliance record and online accessibility.
***Forbes rankings are compiled by Shook research. Factors included in the rankings for assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. As well as personal interviews and verification.
Question & Answer
What are your service offerings?
Insurance
Financial planning
Institutional consulting
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
10M
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: provenance wealth advisors Address: 200 E Las Olas Blvd Fl 19, Fort Lauderdale, FL, 33301, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 12/09/2013 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: non-variable life insurance sales from various (2)Name of Business: Todd A. Moll CFA PA Address: 200 E Las Olas Blvd Fl 19, Fort Lauderdale, FL, 33301, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: Yes Start Date: 07/01/2004 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: owner (3)Name of Business: ZYH Holdings LLC Address: 200 E Las Olas Blvd Fl 19, Fort Lauderdale, FL, 33301, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 04/02/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: director of company (4) Referral Fees: 200 E. Las Olas Blvd 19th FL Ft. Lauderdale 33301 - Position: Referrer of business to CPA Berkowitz Pollack Brant - Start Date 07/2000
CRS (Client Relationship Summary) - RIA
Click below to view Todd Anthony Moll's 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®
Start date: 1993
Experience
Current
May 6, 2003 - Present
PROVENANCE WEALTH ADVISORS
Office #1: 200 East Las Olas Boulevard 19th Floor, Fort Lauderdale, FL 33301RIA
CRD#: 126529
Fort Lauderdale, FL
Current
March 10, 2023 - Present
PWA SECURITIES, LLC
Office #1: 200 East Las Olas Blvd 19th Floor, Fort Lauderdale, FL, 33301BD
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.
BD
CRD#: 6694
FT. LAUDERDALE, FL
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
FORT LAUDERDALE, FL
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
FORT LAUDERDALE, FL
Past
January 17, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
FT LAUDERDALE, FL
Past
January 17, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
June 1, 1998 - January 12, 2001
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
January 15, 1994 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
April 18, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 18, 1991 - January 20, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
PW
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)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.RR
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
RR
California(1/3/2024)
RR
Colorado(1/3/2024)
RR
Connecticut(1/3/2024)
IAR
Florida(5/6/2003)
RR
Florida(4/18/2023)
RR
Georgia(1/3/2024)
RR
Hawaii(1/3/2024)
RR
Kansas(1/3/2024)
RR
Louisiana(1/3/2024)
RR
Maryland(12/23/2024)
RR
New Jersey(1/3/2024)
RR
New York(1/3/2024)
RR
North Carolina(1/3/2024)
RR
Pennsylvania(1/3/2024)
RR
Rhode Island(1/3/2024)
RR
South Carolina(1/3/2024)
RR
Tennessee(5/2/2025)
RR
Utah(1/3/2024)
IAR
Utah(12/23/2024)
RR
Virginia(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/10/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
49
SEC notice filing (39 States and Territories)
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.
Company Information
PROVENANCE WEALTH ADVISORS
CIOCRD#: 126529Fort Lauderdale, FL 33301TRUST BUT VERIFY
Monitor Todd Moll
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
