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AW

Allan F. Weiss

PROSPERITAS FINANCIAL
Woodland Hills, CA 91364
Some features on this profile are disabled
CRD#: 1651363
AW

Professional summary

Allan Frederic Weiss, who also goes by Rick Weiss, is a registered financial advisor currently at PROSPERITAS FINANCIAL, LLC located in Woodland Hills, California.

Allan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Allan has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
(1)START DATE 1996, I'M THE PRESIDENT/SOLE PROPRIETOR OF WEISS FINANCIAL GROUP. I DEVOTE 160 HRS/MO TO THIS INVESTMENT RELATED ACTIVITY. MY DUTIES INCLUDE, SALES OF FIXED ANNUITIES, LIFE INSURANCE PRODUCTS AND GROUP MEDICAL. BUSINESS ADDRESS IS SAME AS MY REGISTERED BRANCH ADDRESS. (2) START DATE 2018 I SPEND LITTLE TO NO TIME AS INVESTOR FOR MARQUEE FUNDING GROUP. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES ARE AS A GROUP OF 10 INDIVIDUALS TO INVEST IN FIRST TRUSTEE MORTGAGES, HARD MONEY LENDERS. ONCE A LOAN IS FUNDED I RECEIVE MONTHLY INTEREST CHECKS. BUSINESS ADDRESS: 23400 PARK SERENTO, CALABASAS, CA 91302

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Frederic Weiss'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

December 5, 2022 - Present

PROSPERITAS FINANCIAL, LLC

Office #1: 21021 Ventura Blvd #200, Woodland Hills, CA 91364
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.

BD
CRD#: 6312
WOODLAND HILLS, CA
Past

July 17, 1997 - March 11, 2004

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

April 18, 1995 - August 11, 1997

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

July 12, 1994 - May 10, 1995

VOYA FINANCIAL ADVISORS, INC.

BD
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".
PF
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.

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
(12/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/11/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PF
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
19

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (6/2/2025)

Regulatory assets under management

Total Number of Accounts3,933
AUM (Assets Under Management)$ 612,704,601

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.

Company Information

PROSPERITAS FINANCIAL, LLC

CRD#: 315768Woodland Hills, CA 91364

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