KM
Kalem J. Mackey
PROSPERITY CAPITAL ADVISORS
Arvada, CO
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CRD#: 4489496
KM
Professional summary
Kalem Joseph Mackey, CFP®, who also goes by Kalem J Mackey, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Arvada, Colorado.
Kalem is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kalem has worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kalem J Mackey
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) Mr. Mackey is a licensed insurance agent. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Mackey spends approximately one hour per month during trading hours on this activity. 2) Superior Financial Planning, Inc. - Owner - S Corp for share ownership of C2P Enterprises and d.b.a. for any clients he may have. Mr. Mackey spends approximately one hour per month during trading hours. This is an investment related activity. 3) Kalem Mackey has ownership shares in Blu, LLC and C2P Enterprises, LLC which includes its affiliate C2P Capital Advisory Group, LLC d.b.a. Prosperity Capital Advisors (PCA). Mr. Mackey is the Executive Vice President of C2P Enterprises and has any active role in the day-to-day operations of the company. Mr. Mackey spends approximately forty hours per week on this activity during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kalem Joseph Mackey's 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®
Experience
Current
October 11, 2023 - Present
PROSPERITY CAPITAL ADVISORS
RIA
CRD#: 156480
Arvada, CO
Past
April 20, 2016 - February 7, 2024
FOUNDATIONS INVESTMENT ADVISORS LLC
RIA
CRD#: 175083
HUNTINGTON BEACH, CA
Past
February 12, 2016 - April 20, 2016
HARBINGER ASSET MANAGEMENT, LLC
RIA
CRD#: 146811
Huntington Beach, CA
Past
January 3, 2003 - March 25, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
NEWPORT BEACH, CA
Past
May 3, 2002 - March 25, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 11, 2002 - March 4, 2002
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, 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".
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.Highlighted states indicate IAR registrations
IAR
Colorado(10/11/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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
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.
