Joshua Adam Gardner
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
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.
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
24 years registered in the securities industry
Current & Past Employments
Current
Past
Education
The College for Financial Planning
Financial Services, Masters Degree in Personal Financial Planning
Financial Services, Masters Degree in Personal Financial Planning
2008
Brigham Young University
Finance, Bachelor of Science (BS)
Finance, Bachelor of Science (BS)
2001
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Current Firm
PROSPER PRIVATE WEALTH | PROSPER PRIVATE WEALTH, LLC
Contact Information
Main Address
4140 E Baseline Road Suite 101, Mesa, AZ 85206Phone Number
(888) 404-3042# of Employees
3SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
264AUM (Assets Under Management)
$150,821,334Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PROSPER PRIVATE WEALTH | PROSPER PRIVATE WEALTH, LLC
State Registrations and Notice Filings
(12/2/2024)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2002About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2013About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2013About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joshua Adam Gardner's CRS (Customer Relationship Summary).
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