Stephen R. Crone

PROSPERA FINANCIAL SERVICES

Cincinnati, OH 45202

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CRD#: 2091574

Professional summary

Stephen R Crone, CFP®, ChFC®, who also goes by Steve Crone, is a registered financial advisor currently at PROSPERA FINANCIAL SERVICES, INC. located in Cincinnati, Ohio.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Crone

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) WILSON CRONE; INVESTMENT RELATED; 250 W COURT STREET #125E CINCINNATI, OH 45202; NAME OF DBA; PARTNER; STARTED 8/1/1998; APX 160 HOURS/MONTH, APX 130 DURING TRADING; NAME OF DBA (2) STEPHEN R CRONE DBA WILSON CRONE; NOT INVESTMENT RELATED; 250 W COURT STREET #125E CINCINNATI, OH 45202; INSURANCE SALES AND SERVICES; PARTNER; BEGAN 1990; 2-5 HOURS PER MONTH INCLUDING DURING TRADING; SELLS AND SERVICES TRADITIONAL LIFE,DISABILITY,AND LTC INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen R Crone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stephen R Crone'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®

CFP^®

Certified Financial Planner

ChFC^®

Chartered Financial Consultant

Experience

Current

March 1, 2021 - Present

PROSPERA FINANCIAL SERVICES, INC.

Office #1: 250 W Court Street Suite 125e, Cincinnati, OH 45202

RIA

CRD#: 10740

Cincinnati, OH

Current

March 1, 2021 - Present

PROSPERA FINANCIAL SERVICES, INC.

Office #1: 250 W Court Street Suite 125e, Cincinnati, OH 45202

RIA

CRD#: 10740

Cincinnati, OH

Past

September 20, 2019 - March 3, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CINCINNATI, OH

Past

September 1, 2016 - March 3, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

CINCINNATI, OH

Past

September 1, 2016 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CINCINNATI, OH

Past

January 24, 2003 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

CINCINNATI, OH

Past

August 28, 1998 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

CINCINNATI, OH

Past

September 10, 1990 - September 1, 1998

OPPENHEIMER & CO. INC.

CRD#: 249

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".

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740 / SEC#: 801-65845, 8-28164

RIA

Registered Investment Advisory firm - SEC (2/1/2006 Approved)

Texas

Registered Investment Advisory firm - SEC (2/2/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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.

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

Arizona
(3/1/2021)

Colorado
(3/1/2021)

Florida
(3/1/2021)

Georgia
(3/1/2021)

Illinois
(3/1/2021)

Indiana
(3/9/2021)

Kentucky
(3/1/2021)

Maryland
(3/1/2021)

Massachusetts
(3/1/2021)

Nebraska
(3/1/2021)

New Jersey
(3/1/2021)

New Mexico
(3/1/2021)

New York
(3/1/2021)

North Carolina
(3/1/2021)

Ohio
(3/1/2021)

IAR

Ohio
(3/4/2021)

Oregon
(6/18/2025)

Rhode Island
(3/1/2021)

South Carolina
(3/1/2021)

Tennessee
(3/1/2021)

Texas
(3/1/2021)

Virginia
(3/5/2021)

Washington
(3/1/2021)

Wisconsin
(3/1/2021)

Wyoming
(3/1/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/30/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/31/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/25/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/17/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/7/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740 / SEC#: 801-65845, 8-28164

RIA

Registered Investment Advisory firm - SEC (2/1/2006 Approved)

Texas

Registered Investment Advisory firm - SEC (2/2/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

5429 Lbj Freeway Suite 750, Dallas, TX 75240

Mailing Address

5429 Lbj Freeway Suite 750, Dallas, TX 75240

Phone number

(972) 581-3000

Established

Texas since 07/16/1982

Firm type

Corporation

Fiscal year end

June

Firm Size

Medium

# of Employees

333

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PROSPERA FINANCIAL SERVICES 2A DISCLOSURE BROCHURE 2025.09.30 (9/30/2025)

PROSPERA FINANCIAL SERVICES 2A DISCLOSURE BROCHURE 2025.09.30 WRAP (9/30/2025)

Direct owners and executive officers

Name	Position	CRD#
PROSPERA FINANCIAL, LLC	HOLDING COMPANY
BAXTER, SHAWN	CHIEF COMPLIANCE OFFICER	4346594
EDWARDS, TIM ALAN	CO-CEO	1569619
KERN, EDWARD	CHIEF FINANCIAL OFFICER	4364143
PASCUZZI, RICHARD DEAN	EXECUTIVE VICE PRESIDENT, SECRETARY	711548
STRINGER, DAVID WALTER	CO-CEO	1410548
WILLIAMS, TARAH ELIZABETH	PRESIDENT, CHIEF OPERATING OFFICER	2727706

Regulatory assets under management

Total Number of Accounts	29,500
AUM (Assets Under Management)	$ 12,435,115,072

Disclosures

Regulatory Event	10
Arbitration	3
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/26/2025	Cover Page	Report
04/23/2024	Cover Page	Report

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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Stephen R. Crone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen R Crone's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen R Crone's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERA FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

OPPENHEIMER & CO. INC.

Primary Firm SEC Registration

PROSPERA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/1997

Series 63

Date: 1/31/1992

SIE

Date: 10/1/2018

Series 31

Date: 7/25/2002

Series 7

Date: 5/17/1993

Series 6

Date: 9/7/1990

FINRA

Current Firm

PROSPERA FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PROSPERA FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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