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Jeffrey Scott Warnkin

CFP®
PROSPERITY CAPITAL ADVISORS
Fremont, OH
·CRD# 1445683·35 years experience

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...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jefffey Scott Warnkin

Blog Corner

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 1995

Years of Experience

35 years in the financial services industry

Current & Past Employments

PROSPERITY CAPITAL ADVISORS·CRD# 156480
RIA
1. 1535 N. River Road, Fremont, OH 434202. 36610 Detroit Road, Avon, OH 44011
February 21, 2012 - Present
INNOVATION PARTNERS LLC·CRD# 146344
RIA
BD
5950 Fairview Road Suite 140, Charlotte, NC 28210
November 1, 2020 - Present
MERCAP SECURITIES, LLC·CRD# 156607
BD
Fort Wayne, IN
March 5, 2012 - November 2, 2020
LPL FINANCIAL LLC·CRD# 6413
RIA
Westlake, OH
September 8, 2009 - February 28, 2012
LPL FINANCIAL LLC·CRD# 6413
BD
Westlake, OH
September 8, 2009 - February 28, 2012
MUTUAL SERVICE CORPORATION·CRD# 4806
RIA
Westlake, OH
December 7, 2004 - September 8, 2009
MUTUAL SERVICE CORPORATION·CRD# 4806
BD
Westlake, OH
November 30, 2004 - September 8, 2009
OSAIC FA, INC.·CRD# 3978
RIA
Solon, OH
September 12, 2002 - December 1, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY·CRD# 2580
BD
Fort Wayne, IN
September 5, 2002 - December 1, 2004
OSAIC FA, INC.·CRD# 3978
BD
Fort Wayne, IN
September 5, 2002 - December 1, 2004
MUTUAL SERVICE CORPORATION·CRD# 4806
BD
Boston, MA
January 12, 1995 - September 3, 2002
OSAIC WEALTH, INC.·CRD# 23131
BD
Scottsdale, AZ
January 3, 1994 - September 29, 1994
DETWILER FENTON WEALTH MANAGEMENT INC·CRD# 16063
BD
Boston, MA
June 21, 1993 - January 11, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC·CRD# 2881
BD
Milwaukee, WI
April 27, 1992 - January 11, 1993
MUTUAL SERVICE CORPORATION·CRD# 4806
BD
December 23, 1985 - November 12, 1986

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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 - SEC (3/22/2011 Approved)

Contact Information

Main Address

30400 Detroit Road Suite 201, Westlake, OH 44145

Phone Number

(888) 240-0064

# of Employees

244

SEC notice filing (42 States and Territories)

Registered to provide investment advisory services in 42 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCA PART 2A 2026 (3/23/2026)

Regulatory Assets Under Management

Total Number of Accounts

16,541

AUM (Assets Under Management)

$4,385,706,161

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. NAME OF BUSINESS:JEFFREY S. WARNKIN. 36610 DETROIT ROAD, AVON, OH 44011. 440-934-9181. THIS BUSINESS IS A SOLE PROPRIETOR. NATURE OF BUSINESS:INCOME TAX PREPARATION. TITLE:SOLE PROPRIETOR. DUTIES:PREPARATION AND REVIEW OF INDIVIDUAL INCOME TAX RETURNS. APPROX. # OF HOURS PER MONTH:120HOURS/MONTH (02/01 THROUGH 04/15). # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:5.FINANCIAL INTEREST IN THIS BUSINESS:YES, I AM THE OWNER AND SOLE PROPRIETOR. 2. American Financial Education Alliance (AFEA) Start Date: 01/01/2019. Address: 36610 Detroit Rd Avon, OH 44011. Title: Chapter President Hours Dedicated: 4 hrs/month during non-trading hours. Nature of Business: Conducting seminars to help eliminate financial illiteracy. There are no product sales or company names mentioned at these seminars and no compensation from AFEA is received. 3. JSW Financial LLC - Start Date: 01/01/2019. Address: 36610 Detroit Rd Avon, OH 44011. Sole Owner. Bookkeeping and payment of wages to self as sole member. Not investment related 5 hours per month 4. Name of Business: Jeffrey Warnkin Investment-Related Nature: No Address of the Other Business: 36610 Detroit Rd., Avon, OH 44011 Nature of the Other Business: Sales of fixed insurance products Position, Title, or Relationship: Sole owner Start Date of the Relationship: 01/2019 Approximate Number of Hours per Month Devoted: 15/hrs per week

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 1995About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 1992About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Apr 1996About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

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