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Advisor at PROSPERITY FINANCIAL GROUP, INC.
SAN RAMON, CA
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 FINANCIAL GROUP, INC. | Independent wealth | Dec 1, 2025 | n/a | yes | SAN RAMON, CA | Current employment |
| PROSPERITY FINANCIAL GROUP, INC. | Former SEC adviser | Oct 3, 2025 | Dec 24, 2025 | no | SAN RAMON, CA | Previous registration |
| FIRST TRUST ADVISORS LP | Asset manager | Oct 1, 2014 | Oct 14, 2025 | no | WHEATON, IL|WALNUST CREEK, CA|WHEATON, IL|PLEASANT HILL, CA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Mar 4, 2010 | Sep 29, 2014 | no | ST. LOUIS, MO|WALNUT CREEK, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PROSPERITY FINANCIAL GROUP, INC. | PROSPERITY FINANCIAL GROUP, INC. | Dec 24, 2025 | Dec 1, 2025 | -23 | Channel change | RIA to RIA |
| FIRST TRUST ADVISORS LP | PROSPERITY FINANCIAL GROUP, INC. | Oct 14, 2025 | Oct 3, 2025 | -11 | Firm change | Other |
| WELLS FARGO ADVISORS | FIRST TRUST ADVISORS LP | Sep 29, 2014 | Oct 1, 2014 | 2 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 145540:339321:CA:2025-12-24 | Dec 24, 2025 | Dec 1, 2025 | SAN RAMON, CA | Firm change |