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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)38 years in industry

SCOTT RICHARD MONTGOMERY

Advisor at PROVENANCE WEALTH ADVISORS

FORT LAUDERDALE, FL

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Search this name across graphsid dfx:ria:c25dbf2a-057d-bcea-4e95-b1bb48d17f31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 1, 1998 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: Dec 16, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 23derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 14
Designations: Chartered Financial Consultant
Exams: S63|S65
First exam: Dec 16, 1987
First registration: Jun 1, 1998
Dual registered: yes, broker-dealer
Other names: SCOTT R MONTGOMERY
IAPD individual key: 1707242

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	May 6, 2003	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 1, 2003	Sep 3, 2013	no	MIAMI, FL\|FORT LAUDERDALE, FL	Previous registration
NATHAN & LEWIS SECURITIES, INC.	n/a	Sep 4, 2002	Aug 1, 2003	no	FT. LAUDERDALE, FL	Previous registration
OSAIC FA, INC.	Former SEC adviser	Jun 1, 1998	Jul 23, 2002	no	DEERFIELD BEACH, FL	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.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 3, 2013	Sep 11, 2013	8	Firm change	Other
NATHAN & LEWIS SECURITIES, INC.	PROVENANCE WEALTH ADVISORS	Aug 1, 2003	May 6, 2003	-87	Firm change after gap	Other
OSAIC FA, INC.	NATHAN & LEWIS SECURITIES, INC.	Jul 23, 2002	Sep 4, 2002	43	Firm change	Other

Relationships

Registered with (5)

→ PROVENANCE WEALTH ADVISORSRegistered adviserregistration: current employment
May 6, 2003 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 1, 2003 to Sep 3, 2013factForm ADV
→ NATHAN & LEWIS SECURITIES, INC.Registered adviserregistration: previous registration
Sep 4, 2002 to Aug 1, 2003factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jun 1, 1998 to Jul 23, 2002factForm ADV

Dated events

Occurred
Aug 25, 2023
Advisor departed, no destination yet
Scott Richard Montgomery no longer registered at Raymond James Financial Services Advisors, Inc; no later IA registration on IAPD
Form ADVobserved 4 days ago