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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Shane James Clarke

Advisor at PROSPERITY CAPITAL ADVISORS

Waterford, CT | WESTLAKE, OH

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Search this name across graphsid dfx:ria:76739a48-6fc7-1967-978c-2959fc1c845f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 24, 1998 to Sep 15, 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 CAPITAL 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: Mar 12, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 12, 1998
First registration: Nov 24, 1998
Dual registered: yes, broker-dealer
Other names: SHANE J CLARKE
IAPD individual key: 2970735

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 CAPITAL ADVISORS	Independent wealth	Sep 17, 2025	n/a	yes	Waterford, CT\|WESTLAKE, OH	Current employment
FSC WEALTH ADVISORS, LLC	Independent wealth	Jul 27, 2016	Jun 1, 2026	no	Waterford, CT\|FISHKILL, NY	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jan 1, 2004	Dec 15, 2005	no	DES MOINES, IA	Previous registration
LOCUST STREET SECURITIES, INC.	n/a	Sep 26, 2003	Jan 1, 2004	no	GROTON, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 24, 1998	Aug 13, 2003	no	NEW LONDON, CT	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
FSC WEALTH ADVISORS, LLC	PROSPERITY CAPITAL ADVISORS	Jun 1, 2026	Sep 17, 2025	-257	Firm change after gap	RIA to RIA
VOYA FINANCIAL ADVISORS, INC.	FSC WEALTH ADVISORS, LLC	Dec 15, 2005	Jul 27, 2016	3,877	Firm change after gap	Other
LOCUST STREET SECURITIES, INC.	VOYA FINANCIAL ADVISORS, INC.	Jan 1, 2004	Jan 1, 2004	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LOCUST STREET SECURITIES, INC.	Aug 13, 2003	Sep 26, 2003	44	Firm change	Other

Relationships

Registered with (5)

→ PROSPERITY CAPITAL ADVISORSRegistered adviserregistration: current employment
Sep 17, 2025 to presentfactForm ADV
→ FSC WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 27, 2016 to Jun 1, 2026factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 1, 2004 to Dec 15, 2005factForm ADV
→ LOCUST STREET SECURITIES, INC.Registered adviserregistration: previous registration
Sep 26, 2003 to Jan 1, 2004factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 24, 1998 to Aug 13, 2003factForm ADV

Dated events

Occurred
Jun 1, 2026
Advisor changed firm
Shane James Clarke left Fsc Wealth Advisors, Llc for Prosperity Capital Advisors (registered 2025-09-17)
Form ADVobserved 6 days ago