AA
Ashwini K. Ahluwalia
PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 1783739
AA
Professional summary
Ashwini Kumar Ahluwalia, CFP®, who also goes by Ash Kumar Ahluwalia, Ash Ahluwalia, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Red Bank, New Jersey and M HOLDINGS SECURITIES, INC. located in Berkeley Heights, New Jersey.
Ashwini is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Ashwini has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ash Kumar Ahluwalia | Ash Ahluwalia
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) Clarity 2 Prosperity; 30400 Detroit Road, Suite 201, Westlake, OH 44145, 07/01/2019; Marketer; Fixed annuity sales; Investment Related; 4 hours/month; 4 hours/month during business hours; Commissions. 2) OneTeam Financial, LLC; 200 Connell Park Suite Berkeley Heights, NJ 07922; M Financial Group Member Firm Affiliation; Investment-related; Marketer; Marketing of insurance; investments and financial planning services; 07/02/2019; 160 hours/month; 160 hours/month during business hours. 3) Senior Advisors; 200 Connell Park Suite Berkeley Heights, NJ 07922; Medicare Supplement Health Insurance sales; Investment related; Licensed Insurance Representative; Get quotes for Medicare Supplement Insurance for my existing clients; 3/15/2021; 2 hours per month during trading hours. 4) One Team Professional Training Program; 200 Connell Park Suite Berkeley Heights, 07922; Learning Program; Not Investment Related; Financial Professional; Speaker/Presenter; 02/15/2023; 2 hour per month; 2 hours per month during trading hours. 5) OTF SS Planning; 200 Connell Park Suite Berkeley Heights, NJ 07922; Social security planning; Not Investment Related; Head of SS Planning; Analyze social security filing options for clients; 05/16/2023; 25 hours per month; 16 hours per month during trading hours. 6) PCA- PROSPERITY CAPITAL ADVISORS; 30400 Detroit Rd., #201, Westlake OH 44145; Independent Registered Investment Advisor; Investment Related; Financial Advisor; Financial Advisor duties; 01/01/2024; 120 hours per month; 100 hours per month during trading hours. 7) Mr. Ahluwalia is a registered representative of M Holdings Securities, Inc., a registered broker-dealer and member of FINRA conducting business at his registered location. In such capacity, Mr. Ahluwalia sells securities through M Holding Securities, Inc. and receives normal and customary commissions and other types of compensation, for example, mutual fund 12b-1 fees or variable annuity trails. Mr. Ahluwalia spends approximately 10 hours per week on this activity during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Ashwini Kumar Ahluwalia'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®
CFP®
Start date: 2001
Experience
Current
November 8, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 331 Newman Springs Road Bldg. 1, Suite 107, Red Bank, NJ 07701Office #2: 200 Connell Park Suite 2l8a, Berkeley Heights, NJ 07922RIA
CRD#: 156480
Red Bank, NJ
Current
April 16, 2014 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 200 Connell Park Suite 2l8a, Berkeley Heights, NJ 07922RIA
BD
CRD#: 43285
Berkeley Heights, NJ
Past
April 16, 2014 - March 7, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
CRANFORD, NJ
Past
March 21, 2014 - March 24, 2014
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
CRANFORD, NJ
Past
March 21, 2014 - March 24, 2014
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
CRANFORD, NJ
Past
April 24, 2012 - April 25, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ROSELAND, NJ
Past
April 19, 2012 - April 25, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ROSELAND, NJ
Past
February 9, 2010 - April 20, 2012
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
EDISON, NJ
Past
January 26, 2010 - April 20, 2012
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
EDISON, NJ
Past
June 18, 2009 - January 28, 2010
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
NEW YORK, NY
Past
December 17, 2008 - January 28, 2010
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
NEW YORK, NY
Past
July 30, 2002 - October 20, 2008
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
CRANFORD, NJ
Past
February 11, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
CRANFORD, NJ
Past
February 11, 2002 - October 20, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CRANFORD, NJ
Past
October 8, 1997 - January 16, 2002
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
February 7, 1995 - October 14, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 25, 1991 - January 3, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 25, 1991 - January 3, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
April 12, 1988 - November 27, 1989
SRE INVESTOR SERVICES, INC.
BD
CRD#: 15700
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.RR
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
RR
Connecticut(8/26/2024)
RR
Delaware(12/19/2024)
IAR
Florida(1/26/2024)
RR
Massachusetts(6/27/2025)
RR
Nevada(12/19/2024)
RR
New Jersey(4/16/2014)
IAR
New Jersey(11/9/2023)
RR
New York(4/16/2014)
IAR
New York(11/8/2023)
RR
North Carolina(10/5/2023)
RR
Pennsylvania(5/10/2023)
IAR
Pennsylvania(11/8/2023)
RR
South Dakota(7/1/2025)
RR
Washington(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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
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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
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.
