Cesar B. Dantes

PROSPERITY FINANCIAL GROUP

SAN RAMON, CA 94583

Some features on this profile are disabled

CRD#: 1470508

Professional summary

Cesar Bagamasbad Dantes, who also goes by Al Dantes, is a registered financial advisor currently at PROSPERITY FINANCIAL GROUP, INC. located in San Ramon, California.

Cesar is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Cesar has worked at 8 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Al Dantes

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 Cesar Bagamasbad Dantes'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®

None

Experience

Current

June 1, 2010 - Present

PROSPERITY FINANCIAL GROUP, INC.

Office #1: 2333 San Ramon Valley Blvd. 200, San Ramon, CA, 94583

RIA

CRD#: 145540

SAN RAMON, CA

Past

January 27, 2009 - June 1, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAN RAMON, CA

Past

January 13, 2009 - June 1, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SAN RAMON, CA

Past

September 8, 2006 - December 3, 2008

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

WALNUT CREEK, CA

Past

September 1, 2006 - December 3, 2008

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

WALNUT CREEK, CA

Past

November 19, 2004 - September 11, 2006

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

November 19, 2004 - September 11, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

July 8, 1997 - November 29, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

July 31, 1993 - November 29, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 7, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 23, 1986 - June 15, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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 FINANCIAL GROUP, INC.

CRD#: 145540 / SEC#: 801-100511

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (12/19/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(6/1/2010)

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.

Exams

State Security Law Exam

Series 63

Date: 12/16/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Current Firm

PROSPERITY FINANCIAL GROUP, INC.

CRD#: 145540 / SEC#: 801-100511

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (12/19/2015 Terminated)

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

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 314-8500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFG - ADV PART 2A: FIRM BROCHURE (10/28/2025)

Regulatory assets under management

Total Number of Accounts	1,202
AUM (Assets Under Management)	$ 358,866,365

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

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

NYLIFE SECURITIES LLC

BRENTWOOD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Cesar B. Dantes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cesar Bagamasbad Dantes's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PROSPERITY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/1988

Series 7

Date: 4/19/1986

Current Firm

PROSPERITY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Similar Advisors