William C. Dahm

PROVENANCE WEALTH ADVISORS

Fort Lauderdale, FL 33301

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CRD#: 7312315

Professional summary

William Charles Dahm III, CFP®, who also goes by Bill Dahm, Williams Charles Dahm III, is a registered financial advisor currently at PROVENANCE WEALTH ADVISORS located in Fort Lauderdale, Florida and PWA SECURITIES, LLC located in West Palm Beach, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. William has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Dahm | Williams Charles Dahm Iii

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.

Provenance Wealth Advisors- Independent RIA - 200 E. Las Olas Blvd 19th Fl Ft.Lauderdale, FL 33301 - Employee- Start Date 10/7/2024 less than 40 hours per week for administrative duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Charles Dahm III'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®

CFP^®

Certified Financial Planner

Experience

Current

November 19, 2024 - Present

PROVENANCE WEALTH ADVISORS

Office #1: 200 East Las Olas Boulevard 19th Floor, Fort Lauderdale, FL 33301

RIA

CRD#: 126529

Fort Lauderdale, FL

Current

October 18, 2024 - Present

PWA SECURITIES, LLC

Office #1: One N. Clematis Street, Suite 550, West Palm Beach, FL 33401

CRD#: 321974

West Palm Beach, FL

Past

June 28, 2022 - June 27, 2024

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

Hatboro, PA

Past

June 28, 2022 - June 27, 2024

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

April 2, 2021 - June 28, 2022

RBC CAPITAL MARKETS, LLC

CRD#: 31194

Philadelphia, PA

Past

March 24, 2021 - June 28, 2022

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

Philadelphia, PA

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".

PROVENANCE WEALTH ADVISORS

PROVENANCE WEALTH ADVISORS | PROVENANCE WEALTH ADVISORS, LLC

CRD#: 126529 / SEC#: 801-113505

RIA

Registered Investment Advisory firm - (6/25/2018 Approved)

Ohio

Registered Investment Advisory firm - (5/12/2023 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.

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

Florida
(10/18/2024)

IAR

Florida
(11/19/2024)

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: 5/17/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/2/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/13/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

PROVENANCE WEALTH ADVISORS

PROVENANCE WEALTH ADVISORS | PROVENANCE WEALTH ADVISORS, LLC

CRD#: 126529 / SEC#: 801-113505

RIA

Registered Investment Advisory firm - (6/25/2018 Approved)

Ohio

Registered Investment Advisory firm - (5/12/2023 Terminated)

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Contact information

Main Address

200 East Las Olas Boulevard 19th Floor, Fort Lauderdale, FL 33301

Mailing Address

Phone number

(954) 712-8888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROVENANCE WEALTH ADVISORS WRAP PROGRAM BROCHURE APPENDIX 1 (10/3/2025)

PROVENANCE WEALTH ADVISORS ADV PART 2A BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	4,221
AUM (Assets Under Management)	$ 3,523,875,805

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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William C. Dahm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Charles Dahm III's CRS (Customer Relationship Summary).

Certified licenses

Experience

PWA SECURITIES, LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

PROVENANCE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 5/17/2021

Series 7TO

Date: 4/2/2021

SIE

Date: 2/13/2021

FINRA

Current Firm

PROVENANCE WEALTH ADVISORS

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROVENANCE WEALTH ADVISORS

TRUST BUT VERIFY

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