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Shane J. Clarke

FSC WEALTH ADVISORS
Waterford, CT 06385
Some features on this profile are disabled
CRD#: 2970735
SC

Professional summary

Shane James Clarke, who also goes by Shane J Clarke, is a registered financial advisor currently at FSC WEALTH ADVISORS, LLC located in Waterford, Connecticut and PROSPERITY CAPITAL ADVISORS located in Waterford, Connecticut.

Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Shane has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Shane J Clarke

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 Shane James Clarke'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

July 27, 2016 - Present

FSC WEALTH ADVISORS, LLC

Office #1: 711 Broad Street Ext, Waterford, CT 06385
RIA
CRD#: 154382
Waterford, CT
Current

September 17, 2025 - Present

PROSPERITY CAPITAL ADVISORS

Office #1: 711 Broad Street Extension, Waterford, CT 06385
RIA
CRD#: 156480
Waterford, CT
Current

October 21, 2021 - Present

GENEOS WEALTH MANAGEMENT, INC.

Office #1: 711 Broad St Ext, Waterford, CT 06385
RIA
BD
CRD#: 120894
Waterford, CT
Past

July 11, 2016 - October 22, 2021

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
WATERFORD, CT
Past

February 27, 2006 - July 22, 2016

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
WATERFORD, CT
Past

January 1, 2004 - December 15, 2005

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
DES MOINES, IA
Past

January 1, 2004 - December 15, 2005

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

September 26, 2003 - January 1, 2004

LOCUST STREET SECURITIES, INC.

RIA
CRD#: 1703
GROTON, CT
Past

September 26, 2003 - January 1, 2004

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

November 24, 1998 - August 13, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW LONDON, CT
Past

December 10, 1997 - August 13, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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

IAR
Connecticut
(7/27/2016)
RR
Connecticut
(10/21/2021)
RR
New York
(1/11/2023)
RR
Rhode Island
(10/21/2021)
IAR
Rhode Island
(5/12/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/24/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/12/1998
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: 12/8/1997
General Securities Representative 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#: 156480Waterford, CT 06385

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