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SR

Stephen C. Rao

PROVIDENCE CAPITAL
Lowell, AR 72745
Some features on this profile are disabled
CRD#: 6798801
SR

Professional summary

Stephen Charles Rao, who also goes by Stephen Rao, is a registered financial advisor currently at PROVIDENCE CAPITAL located in Lowell, Arkansas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Stephen has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen Rao

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Charles Rao'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

December 3, 2025 - Present

PROVIDENCE CAPITAL

Office #1: 201 Presidential Dr, Lowell, AR 72745
RIA
CRD#: 328732
Lowell, AR
Past

July 23, 2024 - November 20, 2025

OAKWOOD CAPITAL SECURITIES, INC.

BD
CRD#: 21000
Houston, TX
Past

January 3, 2023 - November 19, 2025

49 FINANCIAL

RIA
CRD#: 319484
Houston, TX
Past

June 23, 2020 - December 31, 2022

THRIVENT ADVISOR NETWORK, LLC

RIA
CRD#: 304569
Houston, TX
Past

January 31, 2020 - July 2, 2020

PKS ADVISORY SERVICES, LLC

RIA
CRD#: 125648
ALBANY, NY
Past

January 30, 2020 - January 16, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Houston, TX
Past

March 15, 2019 - January 30, 2020

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
AUSTIN, TX
Past

July 18, 2017 - January 30, 2020

EQUITABLE ADVISORS, LLC

BD
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.

Highlighted states indicate IAR registrations

IAR
Texas
(12/3/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/12/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/2017
General Securities Representative Examination

Current Firm

PC
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
201 Presidential Dr Suite 100, Lowell, AR 72745
Mailing Address
Po Box 189, Lowell, AR 72745
Phone number
(479) 295-7117
Established
Firm type
Fiscal year end
# of Employees
6

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts184
AUM (Assets Under Management)$ 40,982,664

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

PROVIDENCE CAPITAL

CRD#: 328732Lowell, AR 72745

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