PROVIDENCE FINANCIAL AND INSURANCES, INC.
PROVIDENCE FINANCIAL AND INSURANCE SERVICES, INC Legal Name
Adviser information for PROVIDENCE FINANCIAL AND INSURANCES, INC. last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,232 | $153.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1,232 | $153.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 520 | $116.0M |
| HNW Individuals | 35 | $37.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-121770 |
|---|---|
| SEC ERA File Number | 801-121770 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141988 |
| Legal Entity Identifier | None |
Principal Office
20335 VENTURA BLVD STE 125WOODLAND HILLS
CA
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 818-887-6443, Fax: 818-887-6765
Websites
www.providencefinancialradio.com
www.youtube.com/channel/ucqgxdm8gijowfgdheyxg7mq
www.providencefinancialinc.com
www.providencefinancialpodcast.com
www.facebook.com/providence.financialinc/
www.linkedin.com/in/anthonysaccaro/
twitter.com/anthonysaccaro
www.yelp.com/biz/providence-financial-and-insurance-services-inc-woodland-hills
www.anthonysaccaro.com
www.anthonysaccarolaw.com
Chief Compliance Officer
ANTHONY A SACCARO
PRESIDENT, CCO
20335 VENTURA BLVD STE. 125
WOODLAND HILLS
CA
United States
Tel:
818-887-6443
Fax:
818-887-6765
A**************@*************************M
(Full email address available in API data)
Industry Affiliates
| ANTHONY A. SACCARO LAW, APC | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SACCARO, ANTHONY, ALAN | Individual | – | PRESIDENT, CCO | 07/1999 | > 75% |