JK
Joseph M. Karl
PROVENANCE WEALTH ADVISORS | Financial Advisor
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 5478578
JK
Professional summary
Joseph Michael Karl, who also goes by Joseph Michael Karl II, Joseph Michael Karl, is a registered financial advisor currently at PROVENANCE WEALTH ADVISORS located in Fort Lauderdale, Florida and PWA SECURITIES, LLC located in Fort Lauderdale, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Joseph has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Michael Karl Ii | Joseph Michael Karl
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: 02/09/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Life insurance sales (2)Name of Business: Provenance Wealth Advisors Address: 200 E Las Olas Blvd Fl 19, Fort Lauderdale, FL, 33301, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 12/05/2013 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 11-20 Description of duties: Provide financial planning for a fee. (3) Name of Business: Boulder Investment Group-804 SW 9th St. Ft. Lauderdale, FL 33315 -Self Directed Investment Club - Start Date 12/1/2023 - Hours per month devoted to business 1 , Hours per month devoted to Business during trading hours 1. (4) Name of Business: Leadership Broward Foundation Role: Board Member Address: 1330 SE 4th Ste# 1 Ft.Lauderdale, FL 33316 Nature of Business; Non Profit Start Date: 06/08/2023 Hours per month devoted to business 2-10, Hours devoted per month during trading hours 1 (5) Name of Business: Ft. Lauderdale Chamber of Commerce Role: Board Member : 512 NE 3rd Ave Ft. Lauderdale, FL 33301 - Nature of Business: Non Profit - Start Date: 3/01/2023 Hours per month devoted to business 2-10, Hours per month devoted to business during trading hours 2-10 (6) Name of Business: Karl Capital Capital Holdings LLC - Position: Non Operation Owner - Address: 804 SW 9th Street Ft.Lauderdale, FL 33315- Business: Real Estate Investing
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Karl'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
October 31, 2012 - 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 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 31, 2012 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
FORT LAUDERDALE, FL
Past
February 10, 2012 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
FORT LAUDERDALE, FL
Past
November 24, 2008 - January 31, 2012
OSAIC FA, INC.
RIA
CRD#: 3978
CINCINNATI, OH
Past
November 24, 2008 - January 31, 2012
OSAIC FA, INC.
BD
CRD#: 3978
CINCINNATI, OH
Past
May 14, 2008 - November 21, 2008
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CINCINNATI, OH
Past
March 18, 2008 - November 21, 2008
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CINCINNATI, OH
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
Alabama(1/3/2024)
IAR
Alabama(12/23/2024)
RR
Arizona(8/25/2023)
RR
California(8/25/2023)
IAR
California(8/28/2023)
IAR
Colorado(8/28/2023)
RR
Colorado(1/3/2024)
RR
Connecticut(8/25/2023)
RR
Delaware(12/23/2024)
IAR
Florida(10/31/2012)
RR
Florida(8/25/2023)
RR
Georgia(8/25/2023)
IAR
Georgia(8/28/2023)
IAR
Hawaii(8/30/2023)
RR
Illinois(6/28/2024)
IAR
Maryland(8/28/2023)
RR
Maryland(1/3/2024)
IAR
Missouri(8/28/2023)
RR
Missouri(1/3/2024)
IAR
New Jersey(9/1/2023)
RR
New York(8/25/2023)
IAR
New York(8/27/2023)
RR
North Carolina(8/28/2023)
IAR
North Carolina(6/20/2024)
IAR
Ohio(8/26/2023)
RR
Ohio(1/3/2024)
RR
Virginia(8/25/2023)
RR
Wyoming(8/25/2023)
IAR
Wyoming(8/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Financial AdvisorCRD#: 126529Fort Lauderdale, FL 33301TRUST BUT VERIFY
Monitor Joseph Karl
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
