0001730814-20-000003.txt : 20200804
0001730814-20-000003.hdr.sgml : 20200804
20200804100930
ACCESSION NUMBER: 0001730814-20-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200630
FILED AS OF DATE: 20200804
DATE AS OF CHANGE: 20200804
EFFECTIVENESS DATE: 20200804
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Providence Capital Advisors, LLC
CENTRAL INDEX KEY: 0001730814
IRS NUMBER: 472676523
STATE OF INCORPORATION: NC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18359
FILM NUMBER: 201071542
BUSINESS ADDRESS:
STREET 1: 4500 CAMERON VALLEY PARKWAY
STREET 2: SUITE 270
CITY: CHARLOTTE
STATE: NC
ZIP: 28211
BUSINESS PHONE: 7042154420
MAIL ADDRESS:
STREET 1: 4500 CAMERON VALLEY PARKWAY
STREET 2: SUITE 270
CITY: CHARLOTTE
STATE: NC
ZIP: 28211
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
true
0001730814
XXXXXXXX
06-30-2020
06-30-2020
Providence Capital Advisors, LLC
4500 CAMERON VALLEY PARKWAY
SUITE 270
CHARLOTTE
NC
28211
13F HOLDINGS REPORT
028-18359
N
Thomas M Searson
Chief Investment Officer
(704)208-5971
Thomas M Searson
Charlotte
NC
08-04-2020
0
192
176283
false
INFORMATION TABLE
2
ProvidenceCapital6302013F.xml
PROVIDENCE CAPITAL 13F HOLDINGS REPORT
AG MTG INVT TR INC
COM
001228105
16
5000
SH
SOLE
5000
0
0
AT&T INC
COM
00206R102
1575
52115
SH
SOLE
52115
0
0
ABBOTT LABS
COM
002824100
2604
28480
SH
SOLE
28480
0
0
ABBVIE INC
COM
00287Y109
1147
11684
SH
SOLE
11684
0
0
ACCELERATE DIAGNOSTICS INC
COM
00430H102
1
49
SH
SOLE
49
0
0
AKOUSTIS TECHNOLOGIES INC
COM
00973N102
1
150
SH
SOLE
150
0
0
ALPHABET INC
CAP STK CL C
02079K107
3482
2463
SH
SOLE
2463
0
0
ALPHABET INC
CAP STK CL A
02079K305
300
212
SH
SOLE
212
0
0
ALTRIA GROUP INC
COM
02209S103
6
163
SH
SOLE
163
0
0
AMAZON COM INC
COM
023135106
3611
1309
SH
SOLE
1309
0
0
AMERICAN ELEC PWR CO INC
COM
025537101
1154
14492
SH
SOLE
14492
0
0
AMERICAN EXPRESS CO
COM
025816109
2
25
SH
SOLE
25
0
0
AMERISOURCEBERGEN CORP
COM
03073E105
50
500
SH
SOLE
500
0
0
APPLE INC
COM
037833100
5818
15950
SH
SOLE
15950
0
0
APPLIED MATLS INC
COM
038222105
15
253
SH
SOLE
253
0
0
AURORA CANNABIS INC
COM
05156X884
0
20
SH
SOLE
20
0
0
AUTOMATIC DATA PROCESSING IN
COM
053015103
30
200
SH
SOLE
200
0
0
BK OF AMERICA CORP
COM
060505104
2942
123862
SH
SOLE
123862
0
0
BARRICK GOLD CORPORATION
COM
067901108
29
1075
SH
SOLE
1075
0
0
BAUSCH HEALTH COS INC
COM
071734107
48
2600
SH
SOLE
2600
0
0
BAXTER INTL INC
COM
071813109
2996
34800
SH
SOLE
34800
0
0
BECTON DICKINSON & CO
COM
075887109
2936
12271
SH
SOLE
12271
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
144
804
SH
SOLE
804
0
0
BLACKLINE INC
COM
09239B109
8
100
SH
SOLE
100
0
0
BLACKROCK INC
COM
09247X101
2544
4675
SH
SOLE
4675
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
13
230
SH
SOLE
230
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
1138
19361
SH
SOLE
19361
0
0
BROADCOM INC
COM
11135F101
1484
4701
SH
SOLE
4701
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
1944
59092
SH
SOLE
59092
0
0
CATERPILLAR INC DEL
COM
149123101
34
270
SH
SOLE
270
0
0
CHEVRON CORP NEW
COM
166764100
1188
13318
SH
SOLE
13318
0
0
CIENA CORP
COM NEW
171779309
3261
60216
SH
SOLE
60216
0
0
CISCO SYS INC
COM
17275R102
1530
32797
SH
SOLE
32797
0
0
COCA COLA CO
COM
191216100
1044
23361
SH
SOLE
23361
0
0
COLGATE PALMOLIVE CO
COM
194162103
3326
45400
SH
SOLE
45400
0
0
COMCAST CORP NEW
CL A
20030N101
5525
141741
SH
SOLE
141741
0
0
COMMERCE BANCSHARES INC
COM
200525103
39
650
SH
SOLE
650
0
0
CONCHO RES INC
COM
20605P101
3
50
SH
SOLE
50
0
0
CONSTELLATION BRANDS INC
CL A
21036P108
2977
17017
SH
SOLE
17017
0
0
CORNING INC
COM
219350105
3359
129674
SH
SOLE
129674
0
0
CORTEVA INC
COM
22052L104
4
166
SH
SOLE
166
0
0
COSTCO WHSL CORP NEW
COM
22160K105
45
150
SH
SOLE
150
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
1402
8377
SH
SOLE
8377
0
0
DENISON MINES CORP
COM
248356107
8
23371
SH
SOLE
23371
0
0
DESIGNER BRANDS INC
CL A
250565108
1
150
SH
SOLE
150
0
0
DIREXION SHS ETF TR
DLY FIN BULL NEW
25459Y694
344
11000
SH
SOLE
11000
0
0
DISNEY WALT CO
COM DISNEY
254687106
2563
22986
SH
SOLE
22986
0
0
DOLLAR GEN CORP NEW
COM
256677105
10
50
SH
SOLE
50
0
0
DOMINION ENERGY INC
COM
25746U109
1188
14629
SH
SOLE
14629
0
0
DOVER CORP
COM
260003108
64
662
SH
SOLE
662
0
0
DOW INC
COM
260557103
7
166
SH
SOLE
166
0
0
DROPBOX INC
CL A
26210C104
148
6820
SH
SOLE
6820
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
1649
20645
SH
SOLE
20645
0
0
DUPONT DE NEMOURS INC
COM
26614N102
9
166
SH
SOLE
166
0
0
ETF MANAGERS TR
PRIME CYBR SCRTY
26924G201
23
523
SH
SOLE
523
0
0
ENBRIDGE INC
COM
29250N105
13
434
SH
SOLE
434
0
0
EXXON MOBIL CORP
COM
30231G102
102
2283
SH
SOLE
2283
0
0
FACEBOOK INC
CL A
30303M102
9
40
SH
SOLE
40
0
0
F5 NETWORKS INC
COM
315616102
2641
18935
SH
SOLE
18935
0
0
FIDELITY COVINGTON TR
MSCI INFO TECH I
316092808
0
4
SH
SOLE
4
0
0
FIDELITY COVINGTON TR
MSCI RL EST ETF
316092857
560
23967
SH
SOLE
23967
0
0
FIFTH THIRD BANCORP
COM
316773100
19
1004
SH
SOLE
1004
0
0
GENERAL ELECTRIC CO
COM
369604103
209
30656
SH
SOLE
30656
0
0
GENERAL MLS INC
COM
370334104
1356
21988
SH
SOLE
21988
0
0
GILEAD SCIENCES INC
COM
375558103
2862
37202
SH
SOLE
37202
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
1565
38358
SH
SOLE
38358
0
0
GLOBAL PMTS INC
COM
37940X102
25
146
SH
SOLE
146
0
0
GLOBAL X FDS
SCIEN BETA US
37954Y103
30
960
SH
SOLE
960
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
5
25
SH
SOLE
25
0
0
GROCERY OUTLET HLDG CORP
COM
39874R101
1994
48884
SH
SOLE
48884
0
0
HALLIBURTON CO
COM
406216101
36
2750
SH
SOLE
2750
0
0
HAWAIIAN HOLDINGS INC
COM
419879101
1
100
SH
SOLE
100
0
0
HEALTHCARE RLTY TR
COM
421946104
1269
43309
SH
SOLE
43309
0
0
HOME DEPOT INC
COM
437076102
3394
13549
SH
SOLE
13549
0
0
HONEYWELL INTL INC
COM
438516106
2361
16326
SH
SOLE
16326
0
0
HUNTSMAN CORP
COM
447011107
3
150
SH
SOLE
150
0
0
IAC INTERACTIVECORP
COM
44919P508
21
66
SH
SOLE
66
0
0
INTEL CORP
COM
458140100
2900
48473
SH
SOLE
48473
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
1605
13287
SH
SOLE
13287
0
0
INVESCO ACTIVELY MANAGED ETF
ULTRA SHRT DUR
46090A887
40
785
SH
SOLE
785
0
0
INVESCO EXCHANGE TRADED FD T
FTSE RAFI 1000
46137V613
32
300
SH
SOLE
300
0
0
ISHARES TR
SELECT DIVID ETF
464287168
223
2763
SH
SOLE
2763
0
0
ISHARES TR
CORE S&P500 ETF
464287200
6695
21617
SH
SOLE
21617
0
0
ISHARES TR
CORE US AGGBD ET
464287226
2254
19070
SH
SOLE
19070
0
0
ISHARES TR
IBOXX INV CP ETF
464287242
704
5232
SH
SOLE
5232
0
0
ISHARES TR
MSCI EAFE ETF
464287465
0
4
SH
SOLE
4
0
0
ISHARES TR
RUS MD CP GR ETF
464287481
110
694
SH
SOLE
694
0
0
ISHARES TR
CORE S&P MCP ETF
464287507
1264
7108
SH
SOLE
7108
0
0
ISHARES TR
RUS 1000 VAL ETF
464287598
105
935
SH
SOLE
935
0
0
ISHARES TR
RUS 1000 GRW ETF
464287614
112
582
SH
SOLE
582
0
0
ISHARES TR
RUS 1000 ETF
464287622
28
162
SH
SOLE
162
0
0
ISHARES TR
U.S. TECH ETF
464287721
36
134
SH
SOLE
134
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
997
14607
SH
SOLE
14607
0
0
ISHARES TR
NATIONAL MUN ETF
464288414
103
891
SH
SOLE
891
0
0
ISHARES TR
IBOXX HI YD ETF
464288513
893
10936
SH
SOLE
10936
0
0
ISHARES TR
PFD AND INCM SEC
464288687
5
155
SH
SOLE
155
0
0
ISHARES TR
U.S. MED DVC ETF
464288810
39
146
SH
SOLE
146
0
0
ISHARES TR
CORE HIGH DV ETF
46429B663
413
5089
SH
SOLE
5089
0
0
ISHARES TR
MSCI MIN VOL ETF
46429B697
56
920
SH
SOLE
920
0
0
ISHARES TR
CORE MSCI EAFE
46432F842
3179
55620
SH
SOLE
55620
0
0
ISHARES INC
CORE MSCI EMKT
46434G103
0
4
SH
SOLE
4
0
0
ISHARES TR
0-5YR INVT GR CP
46434V100
8
160
SH
SOLE
160
0
0
JPMORGAN CHASE & CO
COM
46625H100
2633
27991
SH
SOLE
27991
0
0
JOHNSON & JOHNSON
COM
478160104
358
2548
SH
SOLE
2548
0
0
KIMBERLY CLARK CORP
COM
494368103
1143
8086
SH
SOLE
8086
0
0
LOWES COS INC
COM
548661107
143
1057
SH
SOLE
1057
0
0
MARATHON OIL CORP
COM
565849106
280
45688
SH
SOLE
45688
0
0
MARRIOTT INTL INC NEW
CL A
571903202
17
200
SH
SOLE
200
0
0
MASTERCARD INCORPORATED
CL A
57636Q104
118
400
SH
SOLE
400
0
0
MCDONALDS CORP
COM
580135101
16
89
SH
SOLE
89
0
0
MERCK & CO. INC
COM
58933Y105
4021
51999
SH
SOLE
51999
0
0
MICROSOFT CORP
COM
594918104
5609
27562
SH
SOLE
27562
0
0
NIO INC
SPON ADS
62914V106
4
500
SH
SOLE
500
0
0
NETFLIX INC
COM
64110L106
0
1
SH
SOLE
1
0
0
NEWMONT CORP
COM
651639106
28
450
SH
SOLE
450
0
0
NORFOLK SOUTHERN CORP
COM
655844108
70
400
SH
SOLE
400
0
0
NORTHROP GRUMMAN CORP
COM
666807102
57
186
SH
SOLE
186
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
1277
14622
SH
SOLE
14622
0
0
NUCOR CORP
COM
670346105
74
1783
SH
SOLE
1783
0
0
NVIDIA CORPORATION
COM
67066G104
23
60
SH
SOLE
60
0
0
OSI ETF TR
OSHARES US QUALT
67110P407
13
400
SH
SOLE
400
0
0
OLD REP INTL CORP
COM
680223104
1211
74263
SH
SOLE
74263
0
0
ORACLE CORP
COM
68389X105
10
177
SH
SOLE
177
0
0
PARKER HANNIFIN CORP
COM
701094104
7
38
SH
SOLE
38
0
0
PEPSICO INC
COM
713448108
3296
24921
SH
SOLE
24921
0
0
PFIZER INC
COM
717081103
4177
127729
SH
SOLE
127729
0
0
PHILLIPS 66
COM
718546104
2152
29929
SH
SOLE
29929
0
0
PITNEY BOWES INC
COM
724479100
1
408
SH
SOLE
408
0
0
PROCTER AND GAMBLE CO
COM
742718109
260
2177
SH
SOLE
2177
0
0
PRUDENTIAL FINL INC
COM
744320102
945
15515
SH
SOLE
15515
0
0
PULTE GROUP INC
COM
745867101
102
3007
SH
SOLE
3007
0
0
REPUBLIC SVCS INC
COM
760759100
245
2985
SH
SOLE
2985
0
0
RESONANT INC
COM
76118L102
1
500
SH
SOLE
500
0
0
ROCKWELL AUTOMATION INC
COM
773903109
27
125
SH
SOLE
125
0
0
ROYAL BK CDA
COM
780087102
23
336
SH
SOLE
336
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
324
1050
SH
SOLE
1050
0
0
SPDR SER TR
PORTFOLIO INTRMD
78464A375
0
5
SH
SOLE
5
0
0
SPDR SER TR
PORTFLI MORTGAGE
78464A383
0
5
SH
SOLE
5
0
0
SPDR SER TR
S&P DIVID ETF
78464A763
11
118
SH
SOLE
118
0
0
SPDR SER TR
PORTFOLIO SH TSR
78468R101
0
11
SH
SOLE
11
0
0
SALESFORCE COM INC
COM
79466L302
0
1
SH
SOLE
1
0
0
SANOFI
SPONSORED ADR
80105N105
1359
26623
SH
SOLE
26623
0
0
SCHLUMBERGER LTD
COM
806857108
18
1000
SH
SOLE
1000
0
0
SCHWAB STRATEGIC TR
US LCAP GR ETF
808524300
92
909
SH
SOLE
909
0
0
SCHWAB STRATEGIC TR
US AGGREGATE B
808524839
145
2577
SH
SOLE
2577
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
20
200
SH
SOLE
200
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
2
65
SH
SOLE
65
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
54
520
SH
SOLE
520
0
0
SLACK TECHNOLOGIES INC
COM CL A
83088V102
2
61
SH
SOLE
61
0
0
STARBUCKS CORP
COM
855244109
11
143
SH
SOLE
143
0
0
STITCH FIX INC
COM CL A
860897107
2
100
SH
SOLE
100
0
0
TJX COS INC NEW
COM
872540109
2973
58800
SH
SOLE
58800
0
0
TARGET CORP
COM
87612E106
2600
21681
SH
SOLE
21681
0
0
TEXAS INSTRS INC
COM
882508104
3073
24200
SH
SOLE
24200
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
2840
7838
SH
SOLE
7838
0
0
3M CO
COM
88579Y101
97
622
SH
SOLE
622
0
0
TOYOTA MOTOR CORP
SP ADR REP2COM
892331307
16
129
SH
SOLE
129
0
0
TRUIST FINL CORP
COM
89832Q109
60
1592
SH
SOLE
1592
0
0
TWO HBRS INVT CORP
COM NEW
90187B408
20
4000
SH
SOLE
4000
0
0
TYSON FOODS INC
CL A
902494103
1948
32619
SH
SOLE
32619
0
0
US BANCORP DEL
COM NEW
902973304
2791
75807
SH
SOLE
75807
0
0
USANA HEALTH SCIENCES INC
COM
90328M107
18
240
SH
SOLE
240
0
0
UNDER ARMOUR INC
CL C
904311206
40
4500
SH
SOLE
4500
0
0
UNION PAC CORP
COM
907818108
76
450
SH
SOLE
450
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
1905
17130
SH
SOLE
17130
0
0
VALERO ENERGY CORP
COM
91913Y100
1086
18456
SH
SOLE
18456
0
0
VANGUARD SPECIALIZED FUNDS
DIV APP ETF
921908844
112
955
SH
SOLE
955
0
0
VANGUARD TAX-MANAGED FDS
FTSE DEV MKT ETF
921943858
0
8
SH
SOLE
8
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
63
758
SH
SOLE
758
0
0
VANGUARD SCOTTSDALE FDS
VNG RUS1000GRW
92206C680
1
4
SH
SOLE
4
0
0
VANGUARD SCOTTSDALE FDS
VNG RUS1000VAL
92206C714
1
8
SH
SOLE
8
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1
2
SH
SOLE
2
0
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
71
486
SH
SOLE
486
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
460
2937
SH
SOLE
2937
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
4871
88355
SH
SOLE
88355
0
0
VISA INC
COM CL A
92826C839
5
25
SH
SOLE
25
0
0
VULCAN MATLS CO
COM
929160109
51
441
SH
SOLE
441
0
0
WABTEC
COM
929740108
1
10
SH
SOLE
10
0
0
WALMART INC
COM
931142103
1
5
SH
SOLE
5
0
0
WELLS FARGO CO NEW
COM
949746101
268
10470
SH
SOLE
10470
0
0
WISDOMTREE TR
US QTLY DIV GRT
97717X669
22
485
SH
SOLE
485
0
0
XYLEM INC
COM
98419M100
2412
37126
SH
SOLE
37126
0
0
YUM BRANDS INC
COM
988498101
22
250
SH
SOLE
250
0
0
YUM CHINA HLDGS INC
COM
98850P109
8
164
SH
SOLE
164
0
0
ZEBRA TECHNOLOGIES CORPORATI
CL A
989207105
3037
11864
SH
SOLE
11864
0
0
ZYNGA INC
CL A
98986T108
1
150
SH
SOLE
150
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
57
264
SH
SOLE
264
0
0
EATON CORP PLC
SHS
G29183103
2724
31135
SH
SOLE
31135
0
0
JOHNSON CTLS INTL PLC
SHS
G51502105
3295
96500
SH
SOLE
96500
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
5
2500
SH
SOLE
2500
0
0
SPOTIFY TECHNOLOGY S A
SHS
L8681T102
1
2
SH
SOLE
2
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
2804
24587
SH
SOLE
24587
0
0