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

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
JW

Jeffrey S. Warnkin

PROSPERITY CAPITAL ADVISORS
Fremont, OH 43420
Some features on this profile are disabled
CRD#: 1445683
JW

Professional summary

Jeffrey Scott Warnkin, CFP®, who also goes by Jefffey Scott Warnkin, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Fremont, Ohio and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Jeffrey has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jefffey Scott Warnkin

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Scott Warnkin's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 1995

Experience

Current

February 21, 2012 - Present

PROSPERITY CAPITAL ADVISORS

Office #1: 1535 N. River Road, Fremont, OH 43420Office #2: 36610 Detroit Road, Avon, OH 44011
RIA
CRD#: 156480
Fremont, OH
Current

November 1, 2020 - Present

INNOVATION PARTNERS LLC

Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210
RIA
BD
CRD#: 146344
Charlotte, NC
Past

March 5, 2012 - November 2, 2020

MERCAP SECURITIES, LLC

BD
CRD#: 156607
FORT WAYNE, IN
Past

September 8, 2009 - February 28, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
WESTLAKE, OH
Past

September 8, 2009 - February 28, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
WESTLAKE, OH
Past

December 7, 2004 - September 8, 2009

MUTUAL SERVICE CORPORATION

RIA
CRD#: 4806
WESTLAKE, OH
Past

November 30, 2004 - September 8, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
WESTLAKE, OH
Past

September 12, 2002 - December 1, 2004

OSAIC FA, INC.

RIA
CRD#: 3978
SOLON, OH
Past

September 5, 2002 - December 1, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

September 5, 2002 - December 1, 2004

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

January 12, 1995 - September 3, 2002

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

January 3, 1994 - September 29, 1994

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

June 21, 1993 - January 11, 1994

DETWILER FENTON WEALTH MANAGEMENT INC

BD
CRD#: 16063
BOSTON, MA
Past

April 27, 1992 - January 11, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

December 23, 1985 - November 12, 1986

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806

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
Arizona
(11/1/2020)
RR
Maryland
(11/1/2020)
RR
North Carolina
(11/2/2020)
IAR
Ohio
(2/21/2012)
RR
Ohio
(11/1/2020)
IAR
Texas
(8/17/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/17/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/20/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/1996
General Securities Principal Examination
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
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#: 156480Fremont, OH 43420

TRUST BUT VERIFY

Monitor Jeffrey Warnkin

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

Similar Advisors

AC
Andrew CrockAdvisorCheck Check Mark
STRATEGIC ADVISERS LLC
IAR
RR
NORTH OLMSTED, OH
Kevin Joseph Ruth
Kevin RuthAdvisorCheck Check Mark
RAYMOND JAMES & ASSOCIATES, INC.
PR
ST. PETERSBURG, FL
Lester Russell Kefauver IV
Lester KefauverAdvisorCheck Check Mark
FLAGSHIP HARBOR ADVISORS, LLC
IAR
RR
Maryville, TN
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.