RL
Richard T. Lincoln
PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
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CRD#: 2765841
RL
Professional summary
Richard Thaddeus Lincoln, who also goes by Thad Lincoln, 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.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thad Lincoln
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) RETIREMENT CONCEPTS GROUP, LLC POSITION: OWNER NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2007 ADDRESS: 201 MAIN ST, STE 3, PARKVILLE MO 64152, United States DESCRIPTION: INSURANCE AGENT/SALES, WE BROKER FIXED LIFE INSURANCE,FIXED ANNUITIES,DISABILITY INSURANCE, LONG TERM CARE INSURANCE, HEALTH INSURANCE, AND PROPERTY AND CASUALTY INSURANCE 2) OneTeam Financial LLC; 331 Newman Spring Rd, Bld #1, STE 107, Red Bank NJ 07701; Member Firm Affiliation; Investment Related; Senior Private Client & Executive Life Insurance Specialist; Holistic Wealth Management Services including Life, Annuities, Disability, Long Term Care, Securities, Mutual Funds and other financial products; 02/07/2024; 150 hours per month; 150 hours per month during trading hours. 3) Prosperity Capital Advisors; 30400 Detroit Rd, #201, Westlake OH 44145; Registered Investment Advisor; Investment Related; IAR; IAR of the RIA Prosperity Capital Advisors; 03/01/2024; 10 hours per month; 10 hours per month during trading hours. 4) Retirement Concepts Group LLC; 201 Mains ST, STE 3, Parkville MO 64152; Entity Ownership; Investment Related; Founder/President; Management of the business; 2/7/2024; 10 hours per month; 10 hours per month during trading hours. 5) Mr. Lincoln 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. Lincoln sells securities through M Holding 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. Lincoln spends approximately 10 hours per week on this activity during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Thaddeus Lincoln'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
March 8, 2024 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 331 Newman Springs Road Bldg. 1, Suite 107, Red Bank, NJ 07701RIA
CRD#: 156480
Red Bank, NJ
Current
February 29, 2024 - 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
January 19, 2024 - March 5, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
PARKVILLE, MO
Past
January 19, 2024 - March 5, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
PARKVILLE, MO
Past
June 14, 2016 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PARKVILLE, MO
Past
June 14, 2016 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PARKVILLE, MO
Past
October 22, 2013 - June 29, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
OVERLAND PARK, KS
Past
October 22, 2013 - June 29, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
OVERLAND PARK, KS
Past
July 25, 2013 - October 21, 2013
AWM ASSET MANAGEMENT LLC
RIA
CRD#: 166748
ENGLEWOOD, CO
Past
July 12, 2013 - October 25, 2013
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
OVERLAND PARK, KS
Past
October 29, 2002 - July 19, 2013
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
OVERLAND PARK, KS
Past
October 12, 2001 - July 19, 2013
NYLIFE SECURITIES LLC
BD
CRD#: 5167
OVERLAND PARK, KS
Past
August 23, 1999 - October 9, 2001
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 23, 1999 - October 9, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
August 6, 1996 - September 3, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, 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.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(2/29/2024)
RR
Arkansas(2/29/2024)
RR
Florida(2/29/2024)
IAR
Florida(3/22/2024)
RR
Kansas(2/29/2024)
IAR
Kansas(9/18/2024)
RR
Missouri(2/29/2024)
IAR
Missouri(6/13/2025)
RR
Nebraska(3/6/2024)
IAR
Nebraska(3/12/2024)
RR
Nevada(2/29/2024)
RR
New Jersey(3/4/2024)
IAR
New Jersey(3/11/2024)
RR
New York(2/29/2024)
RR
Texas(2/29/2024)
IAR
Texas(3/8/2024)
RR
Vermont(2/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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
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.
