Joshua A. Gardner

PROSPER PRIVATE WEALTH | Vice President, Executive Planning Consultant

MESA, AZ 85206

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CRD#: 4495410

Professional summary

Joshua Adam Gardner, CFP® is a registered financial advisor currently at PROSPER PRIVATE WEALTH located in Mesa, Arizona.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Joshua has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.

Biography

With over 20 years experience I have seen the significant impact financial choices can make on people's lives, goals, and well-being.  I have a passion for wealth planning and take pride in helping clients work towards their financial goals.

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 Joshua Adam Gardner'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

Education

The College for Financial Planning

Masters Degree in Personal Financial Planning - Financial Services

2008

Brigham Young University

Bachelor of Science (BS) - Finance

2001

Experience

Current

December 2, 2024 - Present

PROSPER PRIVATE WEALTH

Office #1: 4140 E Baseline Road Suite 101, Mesa, AZ 85206

RIA

CRD#: 333708

MESA, AZ

Past

May 26, 2023 - April 9, 2025

SUMMIT GLOBAL INVESTMENTS, LLC

RIA

CRD#: 157091

Gilbert, AZ

Past

July 13, 2018 - April 21, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

April 24, 2013 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

CHANDLER, AZ

Past

April 15, 2013 - April 19, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CHANDLER, AZ

Past

May 14, 2002 - April 9, 2013

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SOUTH JORDON, UT

Past

January 29, 2002 - April 9, 2013

PRUCO SECURITIES, LLC.

CRD#: 5685

SOUTH JORDON, UT

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".

PROSPER PRIVATE WEALTH

PROSPER PRIVATE WEALTH | PROSPER PRIVATE WEALTH, LLC

CRD#: 333708 / SEC#: 801-132061

RIA

Registered Investment Advisory firm - (3/5/2025 Approved)

Arizona

Registered Investment Advisory firm - (9/30/2025 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(12/2/2024)

IAR

Texas
(3/5/2025)

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 65

Date: 4/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/7/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/28/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/15/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 6/22/2013

General Securities Sales Supervisor - General Module Examination

Current Firm

PROSPER PRIVATE WEALTH

PROSPER PRIVATE WEALTH | PROSPER PRIVATE WEALTH, LLC

CRD#: 333708 / SEC#: 801-132061

RIA

Registered Investment Advisory firm - (3/5/2025 Approved)

Arizona

Registered Investment Advisory firm - (9/30/2025 Terminated)

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Contact information

Main Address

4140 E Baseline Road Suite 101, Mesa, AZ 85206

Mailing Address

Phone number

(888) 404-3042

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPER 2A BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	167
AUM (Assets Under Management)	$ 112,686,573

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Joshua A. Gardner

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Adam Gardner's CRS (Customer Relationship Summary).

Certified licenses

Education

The College for Financial Planning

Brigham Young University

Experience

SUMMIT GLOBAL INVESTMENTS, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PROSPER PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/2002

Series 63

Date: 2/2/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/7/2005

Series 6

Date: 1/28/2002

Series 9

Date: 10/15/2013

Series 10

Date: 6/22/2013

Current Firm

PROSPER PRIVATE WEALTH

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPER PRIVATE WEALTH

TRUST BUT VERIFY

Contact information

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