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RL

Richard T. Lincoln

PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
Some features on this profile are disabled
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Thaddeus Lincoln'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

March 8, 2024 - Present

PROSPERITY CAPITAL ADVISORS

Office #1: 331 Newman Springs Road Bldg. 1, Suite 107, Red Bank, NJ 07701
RIA
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 07701
RIA
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
Massachusetts
(12/24/2025)
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
IAR
Series 65
Date: 1/2/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/1996
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 7
Date: 8/13/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/5/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/1/2015
Investment Company Products/Variable Contracts Principal Examination
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)
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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#: 156480Red Bank, NJ 07701

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