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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

EMMETT CHARLES PECK

Advisor at PROSPERITY FINANCIAL GROUP, INC.

SAN RAMON, CA

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Search this name across graphsid dfx:ria:762862c6-baf3-58f0-e9e6-0643125c1078

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 9, 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: PROSPERITY FINANCIAL GROUP, INC.
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: Jul 20, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jul 20, 1998
First registration: Feb 9, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 3052579

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
PROSPERITY FINANCIAL GROUP, INC.	Independent wealth	Dec 4, 2025	n/a	yes	SAN RAMON, CA	Current employment
PROSPERITY FINANCIAL GROUP, INC.	Former SEC adviser	Aug 8, 2016	Dec 24, 2025	no	San Ramon, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Aug 2, 2016	no	OAKLAND, CA\|BERKELEY, CA\|OAKLAND, CA\|OAKLAND, CA\|EMERYVILLE, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Oct 1, 2012	no	OAKLAND, CA\|BERKELEY, CA\|OAKLAND, CA\|OAKLAND, CA\|BERKELEY, CA\|OAKLAND, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Feb 9, 2006	May 2, 2009	no	OAKLAND, CA\|OAKLAND, CA\|BERKELEY, CA\|EL CERRITO, CA\|OAKLAND, CA\|DALLAS, TX\|DALLAS, TX\|DALLAS, TX\|BERKELEY, CA\|BERKELEY, 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
PROSPERITY FINANCIAL GROUP, INC.	PROSPERITY FINANCIAL GROUP, INC.	Dec 24, 2025	Dec 4, 2025	-20	Channel change	RIA to RIA
J.P. MORGAN SECURITIES LLC	PROSPERITY FINANCIAL GROUP, INC.	Aug 2, 2016	Aug 8, 2016	6	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
145540:339321:CA:2025-12-24	Dec 24, 2025	Dec 4, 2025	SAN RAMON, CA	Firm change

Relationships

Registered with (5)

→ PROSPERITY FINANCIAL GROUP, INC.Registered adviserregistration: current employment
Dec 4, 2025 to presentfactForm ADV
→ PROSPERITY FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Aug 8, 2016 to Dec 24, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Aug 2, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Feb 9, 2006 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.