Jeffrey S. Warnkin

PROSPERITY CAPITAL ADVISORS

Fremont, OH 43420

Some features on this profile are disabled

CRD#: 1445683

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.

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

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

CRD#: 146344

Charlotte, NC

Past

March 5, 2012 - November 2, 2020

MERCAP SECURITIES, LLC

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

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

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

CRD#: 2580

FORT WAYNE, IN

Past

September 5, 2002 - December 1, 2004

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

January 12, 1995 - September 3, 2002

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 3, 1994 - September 29, 1994

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 21, 1993 - January 11, 1994

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

April 27, 1992 - January 11, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

December 23, 1985 - November 12, 1986

MUTUAL SERVICE CORPORATION

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".

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.

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

Arizona
(11/1/2020)

Maryland
(11/1/2020)

North Carolina
(11/2/2020)

IAR

Ohio
(2/21/2012)

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

State Security Law Exam

Series 63

Date: 4/17/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/31/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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 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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Matthew Hudzina

MORGAN STANLEY

Alpharetta, GA

Russell Moskowitz

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey S. Warnkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

INNOVATION PARTNERS LLC

MERCAP SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

MUTUAL SERVICE CORPORATION

OSAIC WEALTH, INC.

DETWILER FENTON WEALTH MANAGEMENT INC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MUTUAL SERVICE CORPORATION

Primary Firm SEC Registration

PROSPERITY CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/31/1995

Series 6

Date: 4/20/1992

Series 24

Date: 4/24/1996

FINRA

Current Firm

PROSPERITY CAPITAL ADVISORS

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY CAPITAL ADVISORS

TRUST BUT VERIFY

Similar Advisors