RB
Robert M. Black
PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
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CRD#: 1145742
RB
Professional summary
Robert Martin Black, who also goes by Robert M Black, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Red Bank, New Jersey and M HOLDINGS SECURITIES, INC. located in Berkeley Heights, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert M Black
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) OneTeam Financial, LLC; 331 Newman Springs Rd, Red Bank NJ 07701; Insurance; Investment Related; Registered Rep; Marketing of general financial services; 07/01/2019; 80 hr/mo; 80 hr/mo during trading hours. 2) Madison Brokerage; 65 Madison Ave, Morristown, NJ 07962; 10/23/2015; Sales; Sales of non-M life insurance and annuity products; Investment Related; 10 hr/mo; 10 hr/mo during trading hours. 3) Clarity 2 Prosperity; 30400 Detroit Road Suite 201, Westlake, OH 44145; 10/23/2015; Sales; Sales of life insurance and annuities; Investment Related; 3 hr/mo; 3 hr/mo during trading hours. 4) Mr. Black is a registered representative of M Holdings Securities, Inc., a registered broker-dealer and member of FINRA conducting business at his registered location. In such capacity, Mr. Black sells securities through M Holdings Securities, Inc. and receives normal and customary commissions and other types of compensation, for example, mutual fund 12b-1 fees or variable annuity trails. Mr. Black spends approximately 5 hours per week on this activity during trading hours. 5) Prosperity Capital Advisors; 30400 Detroit Road, Westlake OH 44145; Wealth Management; Investment-related; Advisor; Service clients; 11/08/2023; 20 hr/mo; 20 hr/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Martin Black's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 9, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 331 Newman Springs Road Bldg.1, Suite 107, Red Bank, NJ 07701RIA
CRD#: 156480
Red Bank, NJ
Current
October 29, 2010 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 200 Connell Park Suite 2l8a, Berkeley Heights, NJ 07922RIA
BD
CRD#: 43285
Berkeley Heights, NJ
Past
October 29, 2010 - March 7, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
CRANFORD, NJ
Past
August 1, 2008 - November 1, 2010
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
CRANFORD, NJ
Past
August 1, 2008 - November 1, 2010
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
CRANFORD, NJ
Past
February 17, 2000 - August 27, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
CRANFORD, NJ
Past
November 5, 1986 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
CRANFORD, NJ
Past
June 22, 1983 - December 13, 1988
MOORE & SCHLEY/MEEKER SHARKEY GROUP INC.
BD
CRD#: 13502
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/4/2024)
RR
California(10/29/2010)
RR
Delaware(11/10/2021)
RR
District of Columbia(11/7/2017)
RR
Florida(10/29/2010)
IAR
Florida(5/3/2024)
RR
Maryland(1/10/2024)
RR
Massachusetts(1/5/2024)
RR
Nevada(10/29/2010)
RR
New Jersey(10/29/2010)
IAR
New Jersey(11/9/2023)
RR
New York(10/29/2010)
IAR
New York(5/21/2024)
RR
Pennsylvania(10/29/2010)
RR
South Carolina(12/12/2016)
RR
Tennessee(10/29/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
