Thomas Joseph Scanlan
Professional Summary
Thomas Joseph Scanlan is a registered financial advisor currently at PROVENANCE WEALTH ADVISORS located in Fort Lauderdale, Florida and PWA SECURITIES, LLC located in Fort Lauderdale, Florida. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 14 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, Series 31, SIE, Series 7, Series 53 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
PROVENANCE WEALTH ADVISORS | PROVENANCE WEALTH ADVISORS, LLC
Contact Information
Main Address
200 East Las Olas Boulevard 19th Floor, Fort Lauderdale, FL 33301Phone Number
(954) 712-8888# of Employees
52SEC notice filing (32 States and Territories)
Registered to provide investment advisory services in 32 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
3,820AUM (Assets Under Management)
$3,627,176,290Similar Advisors
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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.
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Primary Firm SEC Registration
PROVENANCE WEALTH ADVISORS | PROVENANCE WEALTH ADVISORS, LLC
State Registrations and Notice Filings
(8/10/2023)
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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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Scanlan's CRS (Customer Relationship Summary).
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