Jamie G. Hargrave

PROSPERITY FINANCIAL GROUP

San Ramon, CA 94583

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CRD#: 3006122

Professional summary

Jamie Granville Hargrave is a registered financial advisor currently at PROSPERITY FINANCIAL GROUP, INC. located in San Ramon, California and FORTUNE FINANCIAL SERVICES, INC. located in San Ramon, California.

Jamie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jamie has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. REP IS AN IAR THROUGH PROSPERITY FINANCIAL GROUP. CSI Financial Group - independent insurance agent - 6-1-2022 - 5 hrs / week 2. Cadence Capital Investments; CEO/Founder; Yes Investment-Related; 2333 San Ramon Valley Bldv. #200, San Ramon, CA 94583; Commercial Real Estate Investment Agency; 06/01/2022; Approx. 10 hours per month spent on business; Wealth Management Strategies/Recommend Suitable Solutions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jamie Granville Hargrave'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

April 8, 2015 - Present

PROSPERITY FINANCIAL GROUP, INC.

Office #1: 2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

RIA

CRD#: 145540

San Ramon, CA

Current

April 2, 2015 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 2333 San Ramon Valley Blvd Suite 200, San Ramon, CA 94583

CRD#: 42150

San Ramon, CA

Past

October 5, 2009 - April 7, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WALNUT CREEK, CA

Past

October 5, 2009 - April 7, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WALNUT CREEK, CA

Past

May 5, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

WALNUT CREEK, CA

Past

May 1, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

WALNUT CREEK, CA

Past

January 1, 2008 - May 13, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OAKLAND, CA

Past

January 1, 2008 - May 13, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

OAKLAND, CA

Past

January 16, 2002 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

OAKLAND, CA

Past

August 31, 2001 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

OAKLAND, CA

Past

April 1, 1998 - September 6, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

PROSPERITY FINANCIAL GROUP, INC.

CRD#: 145540 / SEC#: 801-100511

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (12/19/2015 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.

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

California
(4/2/2015)

IAR

California
(4/8/2015)

Oregon
(4/2/2015)

Washington
(4/2/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/17/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/12/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROSPERITY FINANCIAL GROUP, INC.

CRD#: 145540 / SEC#: 801-100511

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (12/19/2015 Terminated)

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Contact information

Main Address

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 314-8500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFG - ADV PART 2A: FIRM BROCHURE (10/28/2025)

Regulatory assets under management

Total Number of Accounts	1,202
AUM (Assets Under Management)	$ 358,866,365

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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Firm Stability Insights

Jamie G. Hargrave

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jamie Granville Hargrave's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PROSPERITY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/1998

Series 63

Date: 3/23/1998

SIE

Date: 10/1/2018

Series 31

Date: 4/17/1998

Series 7

Date: 3/12/1998

FINRA

Current Firm

PROSPERITY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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