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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

JOSEPH KARL

Advisor at PROVENANCE WEALTH ADVISORS

FORT LAUDERDALE, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 14, 2008 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: May 14, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 12
Exams: S66
First exam: Mar 8, 2012
First registration: May 14, 2008
Dual registered: yes, broker-dealer
Other names: JOSEPH MICHAEL KARL|JOSEPH MICHAEL KARL
IAPD individual key: 5478578

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	Oct 31, 2012	n/a	yes	FORT LAUDERDALE, FL	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 11, 2013	Aug 25, 2023	no	FORT LAUDERDALE, FL	Previous registration
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Aug 31, 2012	Sep 3, 2013	no	FORT LAUDERDALE, FL	Previous registration
OSAIC FA, INC.	Former SEC adviser	Nov 24, 2008	Jan 31, 2012	no	CINCINNATI, OH	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 14, 2008	Nov 21, 2008	no	CINCINNATI, OH	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	n/a	Aug 25, 2023	n/a	n/a	Departure no registered destination	Departure
WALNUT STREET SECURITIES, INC.	PROVENANCE WEALTH ADVISORS	Sep 3, 2013	Oct 31, 2012	-307	Firm change after gap	Other
OSAIC FA, INC.	WALNUT STREET SECURITIES, INC.	Jan 31, 2012	Aug 31, 2012	213	Firm change	Other
MML INVESTORS SERVICES, LLC	OSAIC FA, INC.	Nov 21, 2008	Nov 24, 2008	3	Firm change	Other

Relationships

Registered with (5)

→ PROVENANCE WEALTH ADVISORSRegistered adviserregistration: current employment
Oct 31, 2012 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Sep 11, 2013 to Aug 25, 2023factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Aug 31, 2012 to Sep 3, 2013factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Nov 24, 2008 to Jan 31, 2012factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
May 14, 2008 to Nov 21, 2008factForm ADV

Dated events

Occurred
Aug 25, 2023
Advisor departed, no destination yet
Joseph Karl no longer registered at Raymond James Financial Services Advisors, Inc; no later IA registration on IAPD
Form ADVobserved 6 days ago