Kirsten L. Schlumbohm

PROSPERITY CAPITAL ADVISORS

Westlake, OH 44145

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CRD#: 4474988

Professional summary

Kirsten Lee Schlumbohm, who also goes by Kirsten Lee Cox, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Westlake, Ohio.

Kirsten is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Kirsten has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kirsten Lee Cox

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.

Vice President of Business Development, C2P Enterprises, LLC; 6/17/2021 - Present; Non-Investment related; Duties include: relationship management, case design, writing financial plans; 40 hours/week during business hours; No Oakwood Capital Securities, Inc. clients are involved Investment Adviser Representative; Prosperity Capital Advisors, LLC; 6/17/2021 - Present; Investment related; 1-2 hours/week during business hours; No Oakwood Capital Securities, Inc. clients are involved

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirsten Lee Schlumbohm'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 14, 2022 - Present

PROSPERITY CAPITAL ADVISORS

Office #1: 30400 Detroit Road, Suite 201, Westlake, OH 44145

RIA

CRD#: 156480

Westlake, OH

Past

October 7, 2020 - November 13, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

TIGARD, OR

Past

July 20, 2020 - November 12, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

TIGARD, OR

Past

December 19, 2001 - December 31, 2003

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

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 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.

Highlighted states indicate IAR registrations

IAR

Ohio
(4/14/2022)

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 66

Date: 9/28/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/6/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/18/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/3/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/18/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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 Accounts	14,823
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.

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Advisor Monitoring

Firm Stability Insights

Kirsten L. Schlumbohm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirsten Lee Schlumbohm's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

FORESTERS EQUITY SERVICES, INC.

Primary Firm SEC Registration

PROSPERITY CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2020

Series 63

Date: 12/6/2001

Series 7TO

Date: 7/18/2020

SIE

Date: 2/3/2020

Series 6

Date: 12/18/2001

Current Firm

PROSPERITY CAPITAL ADVISORS

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY CAPITAL ADVISORS

TRUST BUT VERIFY

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