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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

SHANE DAVID PHILLIPS

Advisor at PROVENANCE WEALTH ADVISORS

FORT LAUDERDALE, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:473f7936-b0ef-3d14-6ec9-9cfeb7e2d576

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 21, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PROVENANCE WEALTH ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 5, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 10
Exams: S65|S63
First exam: Feb 5, 2010
First registration: Sep 21, 2011
Dual registered: yes, broker-dealer
Other names: SHANE DAVID PHILLIPS|SHANE D PHILLIPS|Shane Phillips
IAPD individual key: 5953987

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PROVENANCE WEALTH ADVISORS	Independent wealth	Mar 30, 2015	n/a	yes	FORT LAUDERDALE, FL	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Feb 4, 2015	Aug 25, 2023	no	MIAMI, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 6, 2013	Dec 16, 2014	no	MIAMI, FL	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Sep 21, 2011	Aug 22, 2013	no	MILWAUKEE, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	PROVENANCE WEALTH ADVISORS	Aug 25, 2023	Mar 30, 2015	-3,070	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Dec 16, 2014	Feb 4, 2015	50	Firm change	Other
ROBERT W. BAIRD & CO. INCORPORATED	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 22, 2013	Dec 6, 2013	106	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149018:126529:FL:2023-08-25	Aug 25, 2023	Mar 30, 2015	MIAMI, FL	Firm change after gap

Relationships

Registered with (4)

→ PROVENANCE WEALTH ADVISORSRegistered adviserregistration: current employment
Mar 30, 2015 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Feb 4, 2015 to Aug 25, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 6, 2013 to Dec 16, 2014factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Sep 21, 2011 to Aug 22, 2013factForm ADV

Dated events

Occurred
Aug 25, 2023
Advisor changed firm
Shane David Phillips left Raymond James Financial Services Advisors, Inc for Provenance Wealth Advisors (registered 2015-03-30)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:473f7936-b0ef-3d14-6ec9-9cfeb7e2d576
First observed: Sep 21, 2011
Last observed: Sep 14, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SHANE DAVID PHILLIPS

Advisor at PROVENANCE WEALTH ADVISORS

FORT LAUDERDALE, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:473f7936-b0ef-3d14-6ec9-9cfeb7e2d576

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

PROVENANCE WEALTH ADVISORS

Independent wealth

Mar 30, 2015

n/a

yes

FORT LAUDERDALE, FL

Current employment

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Bd affiliated wealth

Feb 4, 2015

Aug 25, 2023

MIAMI, FL

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Dec 6, 2013

Dec 16, 2014

MIAMI, FL

Previous registration

ROBERT W. BAIRD & CO. INCORPORATED

Mixed wealth

Sep 21, 2011

Aug 22, 2013

MILWAUKEE, WI

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

PROVENANCE WEALTH ADVISORS

Aug 25, 2023

Mar 30, 2015

-3,070

Firm change after gap

Other

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Dec 16, 2014

Feb 4, 2015

Firm change

Other

ROBERT W. BAIRD & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Aug 22, 2013

Dec 6, 2013

106

Firm change

Other

Team

Left

Joined

From

Kind

149018:126529:FL:2023-08-25

Aug 25, 2023

Mar 30, 2015

MIAMI, FL

Firm change after gap