SD
Sal J. Disalvo
PROSPERITY CAPITAL ADVISORS
Hauppauge, NY 11788
Some features on this profile are disabled
CRD#: 1554473
SD
Professional summary
Sal Joseph Disalvo, who also goes by Sal J Disalvo, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Hauppauge, New York.
Sal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Sal has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sal J Disalvo
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. DiSalvo 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. DiSalvo spends approx. 10 hrs/week during trading hours on this activity. 2) Mr. DiSalvo earns income as an author with book sales through Amazon. Less than one hour per month is spent on this activity during non-trading hours. This is a non-investment related activity thought the book may have general investment education included. All activities for the book are done through Income for Life, LLC which Mr. DiSalvo is the managing member. 3) Mr. DiSalvo works as a presenter and educator on tax related information for CPE credits. Mr. DiSalvo spends approximately one hour per week on this activity during trading hours. 4) Mr. DiSalvo acts as trustee for his parent's trust. Mr. DiSalvo spends less than an hour per month on this activity during trading hours. This is a non-investment related activity. 5) Mr. DiSalvo is the managing member of Income for Life, LLC. All activities for his book are done through Income for Life, LLC. Less than one hour per month is spent on this activity during non-trading hours. 6) Mr. DiSalvo is the Owner of Quest Capital & Risk Management, LLC which is the operating entity for Mr. DiSalvo's advisory and insurance business. Mr. DiSalvo spends approximately forty hours per week during trading hours working under this entity.
CRS (Client Relationship Summary) - RIA
Click below to view Sal Joseph Disalvo's 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®
NoneExperience
Current
January 27, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 1393 Veterans Memorial Highway, Suite 312n, Hauppauge, NY 11788RIA
CRD#: 156480
Hauppauge, NY
Past
October 15, 2013 - January 31, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SMITHTOWN, NY
Past
September 3, 2013 - January 31, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SMITHTOWN, NY
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
SMITHTOWN, NY
Past
August 29, 2000 - January 27, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
SMITHTOWN, NY
Past
August 28, 1995 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
October 30, 1989 - August 27, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 30, 1989 - August 27, 1993
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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.Highlighted states indicate IAR registrations
IAR
Florida(3/25/2023)
IAR
New York(1/27/2023)
IAR
Texas(1/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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