Vanessa L. Pruett-urie

PROSTATIS FINANCIAL ADVISORS GROUP

Hanover, MD 21076

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CRD#: 2800178

Professional summary

Vanessa Lynn Pruett-urie, who also goes by Vanessa Lynn Hargis, Vanessa Lynn Pruett, is a registered financial advisor currently at PROSTATIS FINANCIAL ADVISORS GROUP located in Hanover, Maryland.

Vanessa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Vanessa has worked at 6 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vanessa Lynn Hargis | Vanessa Lynn Pruett

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.

Gladway Homes, Owner, Real Estate Sales not investment-related, 01/2016 to present

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vanessa Lynn Pruett-urie'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

October 20, 2023 - Present

PROSTATIS FINANCIAL ADVISORS GROUP

Office #1: 7580 Buckingham Blvd Suite 180, Hanover, MD 21076

RIA

CRD#: 132662

Hanover, MD

Past

April 23, 2014 - October 17, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

BALTIMORE, MD

Past

September 12, 2005 - October 17, 2018

CETERA ADVISORS LLC

CRD#: 10299

BALTIMORE, MD

Past

May 15, 2003 - September 9, 2004

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

January 13, 2001 - June 8, 2001

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

November 12, 1999 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

June 17, 1999 - October 11, 1999

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

December 24, 1997 - July 23, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

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".

PROSTATIS FINANCIAL ADVISORS GROUP

CRD#: 132662 / SEC#: 801-112501

RIA

Registered Investment Advisory firm - (2/23/2018 Approved)

Florida

Registered Investment Advisory firm - (4/5/2018 Terminated)

Maryland

Registered Investment Advisory firm - (7/20/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(10/20/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/17/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/20/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/2014

General Securities Principal Examination

Current Firm

PROSTATIS FINANCIAL ADVISORS GROUP

CRD#: 132662 / SEC#: 801-112501

RIA

Registered Investment Advisory firm - (2/23/2018 Approved)

Florida

Registered Investment Advisory firm - (4/5/2018 Terminated)

Maryland

Registered Investment Advisory firm - (7/20/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

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Contact information

Main Address

7580 Buckingham Blvd, Suite 180, Hanover, MD 21076

Mailing Address

Phone number

(410) 863-1040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4,217
AUM (Assets Under Management)	$ 508,939,132

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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Vanessa L. Pruett-urie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vanessa Lynn Pruett-urie's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

EDWARD JONES

DB ALEX. BROWN LLC

Primary Firm SEC Registration

PROSTATIS FINANCIAL ADVISORS GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2023

Series 66

Date: 4/17/2014

Series 63

Date: 12/20/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1999

Series 6

Date: 11/29/1997

Series 24

Date: 10/20/2014

Current Firm

PROSTATIS FINANCIAL ADVISORS GROUP

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSTATIS FINANCIAL ADVISORS GROUP

TRUST BUT VERIFY

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