EK
Elliot H. Kallen
PROSPERITY FINANCIAL GROUP
SAN RAMON, CA 94583
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CRD#: 2384508
EK
Professional summary
Elliot Herbert Kallen is a registered financial advisor currently at PROSPERITY FINANCIAL GROUP, INC. located in San Ramon, California and PROSPERITY WEALTH MANAGEMENT, INC. located in San Ramon, California.
Elliot is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Elliot has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
PROSPERITY FINANCIAL GROUP. SINCE 03/2000. INVESTEMENT-RELATED. 2333 SAN RAMON VALLEY BLVD., SAN RAMON, CA. FINANCIAL PLANNING FIRM. POSITION-PRESIDENT. DUTIES-RETIREMENT PLANNING, BENEFITS ADMINISTRATION, ASSET MANAGEMENT FOR CLIENTS.
HEALTH/GROUP BENEFITS, FIXED ANNUITIES
__/__ PROSPERITY WEALTH MANAGEMENT, INVESTMENT RELATED, INVESTMENT ADVISORY BUSINESS. OWNER/MANAGER 2333 SAN RAMON VALLEY BLVD, SAN RAMON, CA.
CRS (Client Relationship Summary) - RIA
Click below to view Elliot Herbert Kallen'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®
NoneExperience
Current
February 29, 2008 - Present
PROSPERITY FINANCIAL GROUP, INC.
Office #1: 2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583RIA
CRD#: 145540
SAN RAMON, CA
Current
January 7, 2020 - Present
PROSPERITY WEALTH MANAGEMENT, INC.
Office #1: 2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583RIA
CRD#: 174328
San Ramon, CA
Current
August 5, 2014 - Present
FORTUNE FINANCIAL SERVICES, INC.
Office #1: 2333 San Ramon Valley Blvd Suite 200, San Ramon, CA 94583BD
CRD#: 42150
San Ramon, CA
Past
February 19, 2015 - December 31, 2019
PROSPERITY WEALTH MANAGEMENT, INC.
RIA
CRD#: 174328
SAN RAMON, CA
Past
June 2, 2010 - June 2, 2010
FINANCIAL TELESIS INC
RIA
CRD#: 31012
SAN RAMON, CA
Past
June 2, 2010 - August 1, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
SAN RAMON, CA
Past
January 2, 2009 - June 1, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SAN RAMON, CA
Past
April 28, 2000 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
SAN RAMON, CA
Past
April 14, 2000 - June 1, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SAN RAMON, CA
Past
October 25, 1993 - May 12, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 25, 1993 - May 12, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
CRD#: 174328 / SEC#: 801-101485
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (8/14/2015 Terminated)Georgia
Registered Investment Advisory firm - (7/27/2015 Terminated)Illinois
Registered Investment Advisory firm - (7/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (7/15/2015 Terminated)North Carolina
Registered Investment Advisory firm - (7/15/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/16/2015 Terminated)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
Arizona(8/5/2014)
IAR
California(2/29/2008)
RR
California(8/5/2014)
RR
Colorado(1/3/2024)
RR
Connecticut(8/5/2014)
RR
Florida(6/14/2024)
RR
Louisiana(3/20/2023)
IAR
Louisiana(4/4/2023)
RR
Montana(1/5/2016)
RR
Nevada(1/15/2016)
RR
New Jersey(1/5/2023)
RR
New Mexico(10/13/2021)
RR
North Carolina(11/16/2021)
RR
Oregon(8/5/2014)
RR
Texas(3/20/2023)
RR
Washington(8/5/2014)
RR
Wisconsin(1/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
CRD#: 174328 / SEC#: 801-101485
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (8/14/2015 Terminated)Georgia
Registered Investment Advisory firm - (7/27/2015 Terminated)Illinois
Registered Investment Advisory firm - (7/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (7/15/2015 Terminated)North Carolina
Registered Investment Advisory firm - (7/15/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/16/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
Mailing Address
Phone number
(925) 791-4444
Established
Firm type
Fiscal year end
# of Employees
51
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,832 |
| AUM (Assets Under Management) | $ 442,192,443 |
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
PROSPERITY WEALTH MANAGEMENT, INC.
CRD#: 174328San Ramon, CA 94583TRUST BUT VERIFY
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