KM
Kathleen G. Marteney
PROVENANCE WEALTH ADVISORS
Fort Lauderdale, FL 33301
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CRD#: 2633637
KM
Professional summary
Kathleen Graham Marteney, who also goes by Kathleen Julia Graham, is a registered financial advisor currently at PROVENANCE WEALTH ADVISORS located in Fort Lauderdale, Florida and PWA SECURITIES, LLC located in Miami, Florida.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kathleen has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Julia Graham
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 S Biscayne Blvd Fl 7/8, Miami, FL, 33131, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 01/06/2014 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Retirement, Investment, Business, Estate, Insurance and Charitable planning engagements with clients as appropriate for a fee. (2)Name of Business: Provenance Wealth Advisors Address: 200 S Biscayne Blvd Fl 7/8, Miami, FL, 33131, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 01/06/2014 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41-80 Description of duties: Obtain competitive quotes and present to clients for consideration. Complete applications and submit to carriers to meet client specific goals and objectives. Oversee the underwriting process and deliver policies to clients. (3) Name of Business: Referral Fees; Non-Investment Related; Address: 200 E Las Olas Blvd, 19th Floor, Fort Lauderdale, FL 33301. Activity Type: Referral Fees. Position/Title: NA Investment Related: No. Start Date: 8/28/23. Hours devoted to activity: 1. Description: Receive referral fees for business referred to CPA Firm Berkowitz Pollack Brant.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Graham Marteney'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®
NoneExperience
Current
March 28, 2014 - Present
PROVENANCE WEALTH ADVISORS
Office #1: 200 East Las Olas Boulevard 19th Floor, Fort Lauderdale, FL 33301RIA
CRD#: 126529
Fort Lauderdale, FL
Current
August 25, 2023 - Present
PWA SECURITIES, LLC
Office #1: 200 S. Biscayne Blvd, Seventh & Eighth Floors, Miami, FL 33131BD
CRD#: 321974
Miami, FL
Past
January 16, 2014 - August 25, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MIAMI, FL
Past
January 6, 2014 - August 25, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MIAMI, FL
Past
March 31, 2009 - January 6, 2014
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
CINCINNATI, OH
Past
March 17, 2009 - January 13, 2014
RESONATE ADVISORS, INC.
RIA
CRD#: 120941
CINCINNATI, OH
Past
February 3, 2009 - January 6, 2014
VALMARK SECURITIES, INC.
BD
CRD#: 31243
CINCINNATI, OH
Past
March 12, 2001 - June 7, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 1, 2000 - February 4, 2009
OSAIC FA, INC.
RIA
CRD#: 3978
CINCINNATI, OH
Past
June 1, 1998 - February 4, 2009
OSAIC FA, INC.
BD
CRD#: 3978
CINCINNATI, OH
Past
July 25, 1995 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
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".
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(8/25/2023)
IAR
California(8/28/2023)
RR
Colorado(8/25/2023)
IAR
Colorado(8/28/2023)
IAR
Florida(4/14/2014)
RR
Florida(8/25/2023)
RR
Georgia(8/25/2023)
IAR
Georgia(8/28/2023)
IAR
Illinois(9/6/2023)
IAR
Indiana(8/28/2023)
RR
Kentucky(8/25/2023)
IAR
Kentucky(8/28/2023)
RR
New Jersey(8/25/2023)
IAR
New Jersey(9/1/2023)
RR
New York(8/25/2023)
IAR
New York(8/25/2023)
RR
North Carolina(8/25/2023)
IAR
North Carolina(12/23/2024)
IAR
Ohio(3/28/2014)
RR
Ohio(8/25/2023)
RR
Pennsylvania(8/25/2023)
IAR
Pennsylvania(8/28/2023)
RR
Puerto Rico(8/25/2023)
IAR
Puerto Rico(12/26/2024)
IAR
South Carolina(8/29/2023)
RR
Virginia(8/25/2023)
IAR
Virginia(8/29/2023)
RR
Washington(8/25/2023)
IAR
Washington(8/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROVENANCE WEALTH ADVISORS
CRD#: 126529Fort Lauderdale, FL 33301TRUST BUT VERIFY
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Contact information
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