Kalem J. Mackey

PROSPERITY CAPITAL ADVISORS

Arvada, CO

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CRD#: 4489496

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.

At a Glance

Always Fiduciary

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kalem Joseph Mackey'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®

CRD#: 7556

PURCHASE, NY

Past

January 11, 2002 - March 4, 2002

NATIONAL PLANNING CORPORATION

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".

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)

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

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 2/12/2016

Uniform Investment Adviser Law Examination

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

244

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCA PART 2A 2026 (3/23/2026)

Regulatory assets under management

Total Number of Accounts	16,541
AUM (Assets Under Management)	$ 4,385,706,161

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

Kalem J. Mackey

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kalem Joseph Mackey's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDATIONS INVESTMENT ADVISORS LLC

HARBINGER ASSET MANAGEMENT, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

PROSPERITY CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Passed: 2/12/2016

Series 66

Passed: 7/29/2002

Series 63

Passed: 1/17/2002

Series 31

Passed: 9/16/2002

Series 7

Passed: 7/8/2002

Series 6

Passed: 1/10/2002

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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