Jay D. Faler

PROVIDENCE WEALTH ADVISORS

Palos Heights, IL 60463

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CRD#: 6885938

Professional summary

Jay David Faler is a registered financial advisor currently at PROVIDENCE WEALTH ADVISORS, LLC located in Palos Heights, Illinois.

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

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay David Faler'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

December 7, 2017 - Present

PROVIDENCE WEALTH ADVISORS, LLC

Office #1: 6431 W. 127th Street, Palos Heights, IL 60463

RIA

CRD#: 153646

Palos Heights, IL

Past

December 7, 2017 - December 31, 2017

PROVIDENCE WEALTH ADVISORS, LLC

RIA

CRD#: 153646

FRANKFORT, IL

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 WEALTH ADVISORS, LLC

CRD#: 153646 / SEC#: 801-71352

RIA

Registered Investment Advisory firm - (4/19/2010 Approved)

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

Illinois
(12/7/2017)

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: 12/7/2017

Uniform Investment Adviser Law Examination

Current Firm

PROVIDENCE WEALTH ADVISORS, LLC

CRD#: 153646 / SEC#: 801-71352

RIA

Registered Investment Advisory firm - (4/19/2010 Approved)

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Contact information

Main Address

20220 South Lagrange Road, Frankfort, IL 60423

Mailing Address

Phone number

(815) 306-2020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROVIDENCE WEALTH ADVISORS BROCHURE (9/11/2025)

Regulatory assets under management

Total Number of Accounts	1,282
AUM (Assets Under Management)	$ 601,126,721

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
12/22/2023	Cover Page	Report
04/27/2023	Cover Page	Report

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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Jay D. Faler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay David Faler's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROVIDENCE WEALTH ADVISORS, LLC

PROVIDENCE WEALTH ADVISORS, LLC

Primary Firm SEC Registration

PROVIDENCE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/2017

Current Firm

PROVIDENCE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PROVIDENCE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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