Paul W. Cochran

PROVIDENCE WEALTH MANAGEMENT LLC

Knoxville, TN 37922

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CRD#: 4902875

Professional summary

Paul Warren Cochran, who also goes by Paul Cochran, is a registered financial advisor currently at PROVIDENCE WEALTH MANAGEMENT LLC located in Knoxville, Tennessee.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Paul has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Cochran

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.

PROVIDENCE LTC ADVISORS, INC.; NON-INVESTMENT RELATED; 2030 FALLING WATERS RD, SUITE 175, KNOXVILLE, TN 37922; INSURANCE SERVICES; PRESIDENT; 09/2001; 50% OF BUSINESS TIME SPENT ON THIS BUSINESS; INSURANCE SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Warren Cochran'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®

None

Experience

Current

June 5, 2010 - Present

PROVIDENCE WEALTH MANAGEMENT LLC

Office #1: 2030 Falling Waters Road Suite 175, Knoxville, TN 37922

RIA

CRD#: 144902

Knoxville, TN

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(6/5/2010)

IAR

Texas
(2/8/2024)

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

IAR

Series 65

Date: 8/22/2007

Uniform Investment Adviser Law 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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Paul W. Cochran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Warren Cochran's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROVIDENCE WEALTH MANAGEMENT LLC

Primary Firm SEC Registration

PROVIDENCE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2007

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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