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Carol A. Schmidlin
PROSPERITY CAPITAL ADVISORS
Egg Harbor Township, NJ 08234
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CRD#: 2609764
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Professional summary
Carol Ann Schmidlin is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Egg Harbor Township, New Jersey.
Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Carol has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1) Carol Schmidlin is the co-Owner of Franklin Planning, LLC which is the operating entity for Ms. Schmidlin's advisory and insurance business. Ms. Schmidlin spends approximately forty hours per week during trading hours working under this entity. 2) Carol Schmidlin 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. Schmidlin spends approx. 10 hrs/week during trading hours on this activity. 3) FED SAVVY (BOOK TITLE) - START DATE: 1-15-12. NON INVESTMENT RELATED. 1 HOUR PER WEEK SPENT. SALES AND MARKETING OF MY BOOK "FEDSAVVY" THROUGH FRANKLIN PLANNING WEBSITE, PHYSICAL BOOK STORES AND ONLINE BOOK SOURCES SUCH AS AMAZON AND BARNES AND NOBLE.
CRS (Client Relationship Summary) - RIA
Click below to view Carol Ann Schmidlin'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
June 16, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 6712 Washington Avenue, Suite 208, Egg Harbor Township, NJ 08234RIA
CRD#: 156480
Egg Harbor Township, NJ
Past
April 22, 2019 - June 26, 2023
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
SEWELL, NJ
Past
April 16, 2019 - June 26, 2023
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
SEWELL, NJ
Past
January 22, 2013 - April 18, 2019
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
SEWELL, NJ
Past
January 9, 2013 - April 24, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
SEWELL, NJ
Past
October 24, 2011 - December 31, 2012
SPC
RIA
CRD#: 110692
SEWELL, NJ
Past
October 24, 2011 - December 31, 2012
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
SEWELL, NJ
Past
January 5, 1998 - October 24, 2011
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
SEWELL, NJ
Past
April 21, 1995 - October 24, 2011
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SEWELL, 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.Highlighted states indicate IAR registrations
IAR
California(6/16/2023)
IAR
Delaware(6/26/2023)
IAR
Florida(10/27/2023)
IAR
Maryland(11/12/2024)
IAR
New Jersey(6/20/2023)
IAR
Pennsylvania(6/20/2023)
IAR
Texas(6/16/2023)
IAR
Virginia(10/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROSPERITY CAPITAL ADVISORS
CRD#: 156480Egg Harbor Township, NJ 08234TRUST BUT VERIFY
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