Michael D. Wuest

PROVIDENCE CAPITAL

Springdale, AR

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CRD#: 6752876

Professional summary

Michael David Wuest is a registered financial advisor currently at PROVIDENCE CAPITAL located in Springdale, 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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Michael Wuest is dually-registered with BA Securities, LLC and Providence Capital, LLC. Michael has served as a registered representative for BA Securities, LLC and an investment advisor representative for Providence Capital, LLC since 06/2024. Business is conducted from 6850 Stonebrook Drive, Timnath, CO 80547. Approximately 90% of Michael Wuest's time is for services as a registered representative for BA Securities, LLC and the balance as an investment advisor representative. No commissions. Non-investment related activities: Appx 10% of time during the month. WEALTHTECH STRATEGY PARTNERS 101 FEDERAL STREET, SUITE 1900 BOSTON, MA VICE PRESIDENT/NON-SECURITIES RELATED ADVISORY, VALUATION & CONSULTING SERVICES EFFECTIVE: 06/15/2024 3 HOURS PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS. FIRST RATE VENTURES 1903 ASCENSION BLVD. ARLINGTON, TX 76006 VENTURE PARTNER/NON-SECURITIES RELATED ADVISORY SERVICES/TECHNOLOGY & CORPORATE STRATEGY CONSULTING EFFECTIVE: 06/01/2023 2 HOURS PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Wuest'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®

None

Experience

Current

June 24, 2024 - Present

PROVIDENCE CAPITAL

RIA

CRD#: 328732

Springdale, AR

Current

June 13, 2024 - Present

BA SECURITIES, LLC

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

CRD#: 153489

W. Conshohocken, PA

Past

January 4, 2023 - July 1, 2024

49 FINANCIAL

RIA

CRD#: 319484

AUSTIN, TX

Past

June 23, 2020 - December 31, 2022

THRIVENT ADVISOR NETWORK, LLC

RIA

CRD#: 304569

Austin, TX

Past

December 17, 2019 - July 2, 2020

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

November 22, 2019 - January 16, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Austin, TX

Past

August 30, 2017 - November 25, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

AUSTIN, TX

Past

March 29, 2017 - November 25, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

AUSTIN, TX

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.

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

California
(8/13/2024)

Colorado
(11/7/2024)

IAR

Colorado
(11/27/2024)

Georgia
(7/11/2024)

Michigan
(9/25/2025)

New York
(2/4/2025)

Pennsylvania
(6/13/2024)

Tennessee
(9/11/2025)

IAR

Texas
(6/24/2024)

Texas
(8/22/2025)

Wisconsin
(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

State Security Law Exam

IAR

Series 66

Date: 5/18/2017

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 12/4/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 82TO

Date: 6/13/2024

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/29/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROVIDENCE CAPITAL

PROVIDENCE CAPITAL | PROVIDENCE CAPITAL LLC

CRD#: 328732 / SEC#:

Arkansas

Registered Investment Advisory firm - (1/31/2024 Approved)

Colorado

Registered Investment Advisory firm - (11/27/2024 Approved)

Texas

Registered Investment Advisory firm - (2/7/2024 Approved)

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Contact information

Main Address

Rogers, AR

Mailing Address

Phone number

(469) 213-1532

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 26,491,488

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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Advisor Monitoring

Firm Stability Insights

Michael D. Wuest

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Wuest's CRS (Customer Relationship Summary).

Certified licenses

Experience

BA SECURITIES, LLC

49 FINANCIAL

THRIVENT ADVISOR NETWORK, LLC

PKS ADVISORY SERVICES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2017

Series 79TO

Date: 12/4/2024

Series 82TO

Date: 6/13/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/29/2017

FINRA

Current Firm

PROVIDENCE CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROVIDENCE CAPITAL

TRUST BUT VERIFY

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