CB
Charles A. Ballweg
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CRD#: 2835534
CB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Anthony Ballweg, CFP®, who also goes by Charles A Ballweg, Charles A. Ballweg, Chuck Ballweg, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1997. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles A Ballweg | Charles A. Ballweg | Chuck Ballweg
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2000
Experience
Past
January 7, 2020 - January 25, 2021
PROSPERITY WEALTH MANAGEMENT, INC.
RIA
CRD#: 174328
San Ramon, CA
Past
February 19, 2015 - December 31, 2019
PROSPERITY WEALTH MANAGEMENT, INC.
RIA
CRD#: 174328
SAN RAMON, CA
Past
August 6, 2014 - December 31, 2020
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
San Ramon, CA
Past
June 2, 2010 - June 2, 2010
FINANCIAL TELESIS INC
RIA
CRD#: 31012
SAN RAMON, CA
Past
June 2, 2010 - August 1, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
SAN RAMON, CA
Past
January 2, 2009 - June 1, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SAN RAMON, CA
Past
February 29, 2008 - November 25, 2025
PROSPERITY FINANCIAL GROUP, INC.
RIA
CRD#: 145540
SAN RAMON, CA
Past
April 28, 2000 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
SAN RAMON, CA
Past
April 14, 2000 - June 1, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SAN RAMON, CA
Past
January 10, 1997 - April 24, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 10, 1997 - April 24, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
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)Upgrade to AdvisorCheck Premium
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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
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.
