Lorraine A. Grossman

PROVIDENCE FINANCIAL AND INSURANCES

WOODLAND HILLS, CA 91367

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CRD#: 6757972

Professional summary

Lorraine Ann Grossman, who also goes by Lorraine Ann Adams, Lorraine Ann Feliciano, is a registered financial advisor currently at PROVIDENCE FINANCIAL AND INSURANCES, INC. located in Woodland Hills, California.

Lorraine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Lorraine has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lorraine Ann Adams | Lorraine Ann Feliciano

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.

Lorraine Grossman, Notary. Non investment related business in Oak Park, California. As of 2006, Ms. Grossman is a sole proprietor providing notarial services for a minimal fee. Ttime devoted to services is up to one hour weekly; less than 30 minutes during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lorraine Ann Grossman'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

March 2, 2017 - Present

PROVIDENCE FINANCIAL AND INSURANCES, INC.

Office #1: 6320 Canoga Avenue, Suite 600, Woodland Hills, CA 91367

RIA

CRD#: 141988

WOODLAND HILLS, CA

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 FINANCIAL AND INSURANCES, INC.

CRD#: 141988 / SEC#: 801-121770

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (8/28/2021 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

California
(3/2/2017)

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: 6/29/2016

Uniform Investment Adviser Law Examination

Current Firm

PROVIDENCE FINANCIAL AND INSURANCES, INC.

CRD#: 141988 / SEC#: 801-121770

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (8/28/2021 Terminated)

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Contact information

Main Address

6320 Canoga Avenue, Suite 600, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 887-6443

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFIS ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,362
AUM (Assets Under Management)	$ 189,507,150

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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Lorraine A. Grossman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lorraine Ann Grossman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROVIDENCE FINANCIAL AND INSURANCES, INC.

Primary Firm SEC Registration

PROVIDENCE FINANCIAL AND INSURANCES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2016

Current Firm

PROVIDENCE FINANCIAL AND INSURANCES, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROVIDENCE FINANCIAL AND INSURANCES, INC.

TRUST BUT VERIFY

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