Michael David Wuest
Professional Summary
Michael David Wuest is a registered financial advisor currently at PROVIDENCE CAPITAL located in Rogers, Arkansas and BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Michael has worked at 7 firms and has passed the Series 66, Series 79TO, Series 82TO, SIE and Series 7 exams.
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
9 years in the financial services industry
Current & Past Employments
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Current Firm
PROVIDENCE CAPITAL | PROVIDENCE CAPITAL LLC
Contact Information
Main Address
5310 W Village Pkway #4, Rogers, AR 72758Mailing Address
Po Box 189, Lowell, AR 72745Phone Number
(479) 295-7117# of Employees
5Documents
Regulatory Assets Under Management
Total Number of Accounts
184AUM (Assets Under Management)
$40,982,664Similar 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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State Registrations and Notice Filings
(8/13/2024)
(11/7/2024)
(11/27/2024)
(7/11/2024)
(3/10/2026)
(9/25/2025)
(4/22/2026)
(11/13/2025)
(6/13/2024)
(9/11/2025)
(6/24/2024)
(8/22/2025)
(7/11/2024)
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.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 79TO — Investment Banking Registered Representative Examination
Passed Dec 2024About the Series 79TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jun 2024About the Series 82TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael David Wuest's CRS (Customer Relationship Summary).
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