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Deborah K. Cundiff

PROSPERITY CAPITAL ADVISORS
Schererville, IN 46375
Some features on this profile are disabled
CRD#: 2480598
DC

Professional summary

Deborah Kipp Cundiff, who also goes by Deborah Ann Kipp, Deborah Kippcundiff, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Schererville, Indiana.

Deborah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Deborah has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Deborah Ann Kipp | Deborah Kippcundiff

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) Ms. Cundiff is a licensed insurance agent. In this capacity, she may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, she may receive other compensation such as fixed life trails. Ms. Cundiff spends approx. 10 hrs/week during trading hours on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deborah Kipp Cundiff'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

June 6, 2017 - Present

PROSPERITY CAPITAL ADVISORS

Office #1: 222 Indianapolis Blvd Suite 201, Schererville, IN 46375
RIA
CRD#: 156480
Schererville, IN
Past

November 1, 2020 - January 6, 2025

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

May 25, 2017 - November 2, 2020

MERCAP SECURITIES, LLC

BD
CRD#: 156607
SCHERERVILLE, IN
Past

September 10, 2015 - October 28, 2015

EDWARD JONES

RIA
CRD#: 250
MUNSTER, IN
Past

August 17, 2015 - October 28, 2015

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

March 20, 1997 - July 10, 1998

FIRSTAR INVESTMENT SERVICES,INC.

BD
CRD#: 14536
MORRIS PLAINS, NJ
Past

May 11, 1994 - January 20, 1997

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, 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".
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.

Highlighted states indicate IAR registrations

IAR
Illinois
(12/17/2020)
IAR
Indiana
(6/6/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/4/2015
Uniform Combined State Law Examination
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 7
Date: 8/17/2015
General Securities Representative Examination

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
Registered Investment Advisory firm - (3/22/2011 Approved)
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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)

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

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts14,823
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.

Company Information

PROSPERITY CAPITAL ADVISORS

CRD#: 156480Schererville, IN 46375

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