Stephen C. Rao

PROVIDENCE CAPITAL

Rogers, AR

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CRD#: 6798801

Professional summary

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

RIA

CRD#: 328732

Rogers, AR

Past

July 23, 2024 - November 20, 2025

OAKWOOD CAPITAL SECURITIES, INC.

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

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

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)

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 66

Date: 1/12/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/3/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/2017

General Securities Representative Examination

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

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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	184
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.

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Advisor Monitoring

Firm Stability Insights

Stephen C. Rao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Charles Rao's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKWOOD CAPITAL SECURITIES, INC.

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: 1/12/2019

Series 63

Date: 8/3/2017

SIE

Date: 10/1/2018

Series 7

Date: 7/18/2017

Current Firm

PROVIDENCE CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROVIDENCE CAPITAL

TRUST BUT VERIFY

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