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PROVIDENCE FINANCIAL AND INSURANCES, INC.

WOODLAND HILLS, CA · CRD 141988 · IAPD ↗ · providencefinancialradio.com · 818-887-6443

$215.0MRegulatory AUM
6Advisory reps
16Employees
0Clients
0Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
June 2026 — PROVIDENCE FINANCIAL AND INSURANCES, INC. notice-filed in AZ, CO, FL, NE, NH, NV, TN, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2026 — PROVIDENCE FINANCIAL AND INSURANCES, INC. added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
67
April 2026 — PROVIDENCE FINANCIAL AND INSURANCES, INC. grew from 4 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
50
April 2024 — PROVIDENCE FINANCIAL AND INSURANCES, INC. added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
67
April 2024 — PROVIDENCE FINANCIAL AND INSURANCES, INC. grew from 3 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.