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EP

Emmett C. Peck

PROSPERITY FINANCIAL GROUP
SAN RAMON, CA 94583
Some features on this profile are disabled
CRD#: 3052579
EP

Professional summary

Emmett Charles Peck JR, CFP® 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.

Emmett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Emmett has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emmett Charles Peck JR'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®
CFP®

Certified Financial Planner

Start date: 2006

Experience

Current

December 4, 2025 - Present

PROSPERITY FINANCIAL GROUP, INC.

Office #1: 2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
RIA
CRD#: 339321
SAN RAMON, CA
Current

August 17, 2016 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 2333 San Ramon Valley Blvd Suite 200, San Ramon, CA 94583
BD
CRD#: 42150
San Ramon, CA
Past

August 8, 2016 - December 24, 2025

PROSPERITY FINANCIAL GROUP, INC.

RIA
CRD#: 145540
San Ramon, CA
Past

October 1, 2012 - August 2, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
BERKELEY, CA
Past

October 1, 2012 - August 2, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
BERKELEY, CA
Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
OAKLAND, CA
Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
OAKLAND, CA
Past

February 9, 2006 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
BERKELEY, CA
Past

February 4, 1999 - May 2, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
BERKELEY, CA
Past

July 17, 1998 - January 7, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 17, 1998 - January 7, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
PF
PROSPERITY FINANCIAL GROUP, INC.
PROSPERITY FINANCIAL GROUP, INC.

CRD#: 339321 / SEC#: 801-134846

RIA
Registered Investment Advisory firm - (12/1/2025 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
California
(8/17/2016)
IAR
California
(12/4/2025)
RR
New Mexico
(1/6/2023)
RR
Oregon
(1/6/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/23/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PROSPERITY FINANCIAL GROUP, INC.
PROSPERITY FINANCIAL GROUP, INC.

CRD#: 339321 / SEC#: 801-134846

RIA
Registered Investment Advisory firm - (12/1/2025 Approved)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
11

SEC notice filing (20 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

PROSPERITY FINANCIAL GROUP, INC. ADV PART 2A DISCLOSURE BROCHURE (10/28/2025)

Regulatory assets under management

Total Number of Accounts1,202
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.

Company Information

PROSPERITY FINANCIAL GROUP, INC.

CRD#: 339321San Ramon, CA 94583

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