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Advisor at PROSPERITY CAPITAL ADVISORS
Hauppauge, NY | WESTLAKE, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| PROSPERITY CAPITAL ADVISORS | Independent wealth | Jan 27, 2023 | n/a | yes | WESTLAKE, OH|Hauppauge, NY | Current employment |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Mar 31, 2021 | Jan 31, 2023 | no | SMITHTOWN, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA ADVISOR NETWORKS LLC | PROSPERITY CAPITAL ADVISORS | Jan 31, 2023 | Jan 27, 2023 | -4 | Firm change | Ibd to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 13572:156480:NY:2023-01-31 | Jan 31, 2023 | Jan 27, 2023 | SMITHTOWN, NY | Firm change |