AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JD

John W. Dowd

Some features on this profile are disabled
CRD#: 1203778
JD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John William Dowd was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1983. John had worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) Mr. XX is a licensed insurance agent. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. XXXX spends approx. X hrs/week during trading hours on this activity. 2) John Dowd is the President and Owner of Dowd and Associates. This entity receives insurance commission payouts and payments for the sale of his advisory business. 3) Deacon - Funerals - occasionally receives a nominal tip from the family for presiding over the service. Seminars - Held through both AFEA (Financial Services) and 8 Digit Media (Social Security Seminars).

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 2, 2012 - April 30, 2024

PROSPERITY CAPITAL ADVISORS

RIA
CRD#: 156480
North Kingstown, RI
Past

October 28, 2009 - March 28, 2011

AMERICAN INVESTMENT SERVICES

RIA
CRD#: 144088
EAST GREENWICH, RI
Past

November 4, 2004 - December 11, 2012

DOWD & ASSOCIATES

RIA
CRD#: 124244
EAST GREENWICH, RI
Past

October 13, 1997 - August 13, 2004

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

February 15, 1995 - November 7, 1996

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

July 1, 1993 - March 15, 1995

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

April 21, 1992 - July 6, 1993

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

May 11, 1987 - April 27, 1988

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

May 11, 1987 - April 27, 1988

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

October 3, 1985 - April 23, 1986

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
Past

November 16, 1983 - November 13, 1984

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/9/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/20/1992
Investment Company Products/Variable Contracts Representative Examination

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
Registered Investment Advisory firm - (3/22/2011 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts14,823
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.

Company Information

PROSPERITY CAPITAL ADVISORS

CRD#: 156480

TRUST BUT VERIFY

Monitor John Dowd

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics