Allan F. Weiss

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CRD#: 1651363

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Allan Frederic Weiss, who also goes by Rick Weiss, was a registered financial professional .

Allan is a previously registered financial professional and started their career in finance in 1994. Allan had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Weiss

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 5, 2022 - March 12, 2026

PROSPERITAS FINANCIAL, LLC

RIA

CRD#: 315768

Woodland Hills, CA

Past

September 15, 2011 - December 6, 2022

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

WOODLAND HILLS, CA

Past

March 3, 2004 - December 6, 2022

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

WOODLAND HILLS, CA

Past

July 17, 1997 - March 11, 2004

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

April 18, 1995 - August 11, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 12, 1994 - May 10, 1995

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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".

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/11/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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Contact information

Main Address

25060 Avenue Stanford Suite 100, Valencia, CA 91355

Mailing Address

Phone number

(661) 255-9555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/17/2026)

Regulatory assets under management

Total Number of Accounts	4,890
AUM (Assets Under Management)	$ 812,462,629

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.

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Advisor Monitoring

Firm Stability Insights

Allan F. Weiss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CETERA WEALTH SERVICES, LLC

MML INVESTORS SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

PROSPERITAS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/1994

SIE

Date: 10/1/2018

Series 6

Date: 7/11/1994

Current Firm

PROSPERITAS FINANCIAL, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITAS FINANCIAL, LLC

TRUST BUT VERIFY

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