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RIA / WealthAdvisor20 years in industry

HOWARD MARTINEZ

Advisor at PROSPERITAS FINANCIAL, LLC

VALENCIA, CA

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Search this name across graphsid dfx:ria:13922f67-47ef-a3eb-0cf0-2479fb8e955d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 26, 2006 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: PROSPERITAS FINANCIAL, LLC
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: Apr 25, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 25, 2006
First registration: Apr 26, 2006
Dual registered: no
IAPD individual key: 5088792

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
PROSPERITAS FINANCIAL, LLC	Independent wealth	Aug 6, 2024	n/a	yes	VALENCIA, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 24, 2015	Aug 15, 2024	no	BREA, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 24, 2015	no	Brea, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	BREA, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 26, 2006	Apr 2, 2007	no	BREA, CA	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
LPL FINANCIAL LLC	PROSPERITAS FINANCIAL, LLC	Aug 15, 2024	Aug 6, 2024	-9	Firm change	Ibd to RIA
MORGAN STANLEY	LPL FINANCIAL LLC	Feb 24, 2015	Feb 24, 2015	0	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ PROSPERITAS FINANCIAL, LLCRegistered adviserregistration: current employment
Aug 6, 2024 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 24, 2015 to Aug 15, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 24, 2015factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 26, 2006 to Apr 2, 2007factForm ADV

Dated events

Occurred
Aug 15, 2024
Advisor changed firm
Howard Martinez left Lpl Financial Llc for Prosperitas Financial, Llc (registered 2024-08-06)
Form ADVobserved 4 days ago