GS
Gregory E. Shulman
PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2354222
GS
Professional summary
Gregory Edward Shulman, CFP®, who also goes by Gregory E Shulman, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Red Bank, New Jersey and M HOLDINGS SECURITIES, INC. located in Red Bank, New Jersey.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Gregory has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory E Shulman
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) Hub International; www.hubinternational.com; 01/2016; Agent; Health Insurance; Investment Related; 4 hours/month; 0 hours/month during business hours; No Compensation. 2) Madison Brokerage; 65 Madison Avenue, Morristown, NJ 07962; 07/2019; Agent; GA used to place insurance with non-M carriers; Investment Related; 4 h/m; 4 h/m during business hours; No Compensation. 3) OneTeam Financial, LLC; 331 Newman Springs Road Suite 107, Red Bank, NJ 07701; 07/2019; Managing Director; General Financial Services; Investment Related; 170 h/m; 170 h/m during business hours. 4) Clarity 2 Prosperity; 30400 Detroit Rd, Suite 201, Westlake, OH 44145 02/15/2017; Agent; Resource to help place various annuities for clients in conjunction with a holistic financial planning process; Not Investment Related; 10 hours/month; 10 hours/month during business hours; Wages/Salary/Tips. 5) RESOURCES INVESTMENT ADVISORS, LLC; POSITION: Financial Advisor NATURE: Investments & Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022; ADDRESS: Resources Investment Advisors, LLC, 300 Carnegie Center, Suite 240, Princeton NJ 08540, United States; DESCRIPTION: Manage existing clients 6) Manasquan Presbyterian Church; 16 Virginia Avenue Manasquan NJ 08736; Non-profit Board Member; Not Investment-related; Elder and President; Responsible for moderating the finance committee and also be President of the board; 01/01/2025; 3 hours per month; 0 hours per month during trading hours. 7) PCA- Prosperity Capital Advisors; 30400 Detroit Road #201 Westlake, OH 44145; Registered Investment Advisor; Investment Related; Financial Advisor; Advising clients; 01/01/2024; 120 hours per month; 120 hours per month during trading hours. 8) POA for Joy Kaercher; 512 Quincy Street Collegeville, PA 19426; Power of Attorney; Not Investment Related; POA; Authority to act on behalf of my sister, Joy Kaercher; 01/01/2024; 1 hour per month; 0 hours per month during trading hours. 9) POA for Edward Kaercher; 512 Quincy Street Collegeville, PA 19426; Power of Attorney; Not Investment Related; POA; Authority to act on behalf of my brother-in-law, Edward Kaercher; 01/01/2024; 1 hour per month; 0 hours per month during trading hours. 10) Mr. Shulman 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. Shulman sells securities through M Holdings 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. Shulman spends approximately 10 hours per week on this activity during trading hours. 11) Digital Insurance, LLC; 300 Carnegie Center, Suite 240, Princeton NJ 08540; Investments & Insurance; Investment Related; Financial Advisor; Trails received for servicing existing clients; 9/1/2022; 0 hours per month, 0 hours per month during trading hours. 12) Mr. Shulman serves as a board member and Chairperson of the Finance Committee for the First Presbyterian Church of Manasquan, located at 16 Virginia Ave, Manasquan, NJ 08736. Mr. Shulman does not have check writing responsibilities. Non-compensated role. 3 hours per month, 0 hours per month during trading hours, not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Edward Shulman'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: 1998
Experience
Current
November 8, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 331 Newman Springs Road, Suite 107, Red Bank, NJ 07701RIA
CRD#: 156480
Red Bank, NJ
Current
June 11, 2012 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 331 Newman Springs Road, Bldg 1, Suite 107, Red Bank, NJ 07701RIA
BD
CRD#: 43285
Red Bank, NJ
Past
June 12, 2012 - March 31, 2017
KB FINANCIAL PARTNERS, LLC
RIA
CRD#: 119166
POINT PLEASANT BEACH, NJ
Past
June 12, 2012 - March 7, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
Cranford, NJ
Past
October 28, 2004 - June 6, 2013
KINGSBRIDGE ADVISORS, LLC
RIA
CRD#: 126936
POINT PLEASANT BEACH, NJ
Past
July 30, 2002 - June 13, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
PT. PLEASANT BEACH, NJ
Past
July 31, 2001 - October 1, 2002
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
May 27, 1993 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 27, 1993 - June 13, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
PT. PLEASANT BEACH, NJ
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
Colorado(10/12/2023)
RR
Connecticut(5/13/2021)
RR
Delaware(9/7/2021)
RR
Florida(6/11/2012)
IAR
Florida(11/29/2023)
RR
Illinois(6/11/2025)
RR
Indiana(8/15/2024)
RR
Maryland(6/11/2012)
RR
Massachusetts(6/11/2012)
RR
Michigan(9/24/2014)
RR
Mississippi(10/23/2023)
RR
New Jersey(6/11/2012)
IAR
New Jersey(11/9/2023)
RR
New York(6/11/2012)
IAR
New York(11/8/2023)
RR
North Carolina(2/6/2020)
RR
Ohio(6/11/2012)
RR
Oklahoma(9/20/2021)
RR
Pennsylvania(6/11/2012)
IAR
Pennsylvania(11/8/2023)
RR
South Carolina(7/27/2021)
RR
Utah(10/31/2023)
RR
Virginia(6/11/2012)
RR
Wisconsin(4/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
