Brian Eric Samuels | Financial Professional | San Diego, California | PROSPERITY WEALTH MANAGEMENT, INC.

Professional summary

Brian Eric Samuels is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT, INC. located in San Diego, California and FORTUNE FINANCIAL SERVICES, INC. located in San Diego, California.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 6 firms and has passed the Series 65, Series 63, SIE 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)HIGHLAND CAPITAL FINANCIAL CONSULTING LLC -NO - 9845 Erma Rd, Suite 210A, San Diego CA 92131 - INSURANCE MARKETING - INSURANCE MARKETING - MANAGING DIRECTOR, PRESIDENT/CEO - 09/01/05 - 20/20 HRS - INSURANCE MARKETING AGENCY. -- 2. Individual Insurance Solution, Inc. Not investment related, insurance agency, managing director, wholesaling insurance and advanced designs for independent agents. San Diego Financial Center, LLC, non investment related, Executive office suites office manager. Collects rent for property owner as well as "eyes and ears" for off site property management RIA for Prosperity Wealth Management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Eric Samuels'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

January 3, 2020 - Present

PROSPERITY WEALTH MANAGEMENT, INC.

Office #1: 9845 Erma Rd, San Diego, CA 92131

RIA

CRD#: 174328

San Diego, CA

Current

July 6, 2017 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 9845 Erma Road Suite 210a, San Diego, CA 92131

BD

CRD#: 42150

San Diego, CA

Past

July 5, 2017 - December 31, 2019

PROSPERITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 174328

San Diego, CA

Past

June 21, 2012 - May 17, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SAN DIEGO, CA

Past

June 21, 2012 - May 17, 2017

NATIONAL PLANNING CORPORATION

BD

CRD#: 29604

SAN DIEGO, CA

Past

April 20, 2006 - June 19, 2012

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN DIEGO, CA

Past

April 20, 2006 - June 19, 2012

INDEPENDENT FINANCIAL GROUP, LLC

BD

CRD#: 7717

SAN DIEGO, CA

Past

October 21, 2005 - April 24, 2006

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

SAN DIEGO, CA

Past

October 21, 2005 - April 24, 2006

KESTRA INVESTMENT SERVICES, LLC

BD

CRD#: 42046

AUSTIN, TX

Past

July 9, 2002 - September 26, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SAN DIEGO, CA

Past

June 18, 1996 - September 26, 2005

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

NEWARK, 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".

PW

PROSPERITY WEALTH MANAGEMENT, INC.

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)

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.

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

California
(7/6/2017)

IAR

California
(1/3/2020)

RR

New York
(7/6/2017)

RR

Texas
(7/6/2017)

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: 7/30/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 7/3/1996

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 6

Date: 6/17/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

PW

PROSPERITY WEALTH MANAGEMENT, INC.

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)

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).

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (3/28/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Brian E. Samuels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Eric Samuels's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

PROSPERITY WEALTH MANAGEMENT, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PROSPERITY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/2001

Series 63

Date: 7/3/1996

SIE

Date: 10/1/2018

Series 6

Date: 6/17/1996

FINRA

Current Firm

PROSPERITY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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