Jeffrey Kim Gin, CFP | Financial Professional | Morton Grove, Illinois | PROSPERITY WEALTH MANAGEMENT, INC.

Professional summary

Jeffrey Kim Gin, CFP® is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT, INC. located in Morton Grove, Illinois and FORTUNE FINANCIAL SERVICES, INC. located in Morton Grove, Illinois.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jeffrey has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

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.

08/2002 - PRESENT, VARIOUS INSURANCE CARRIERS, FIXED ANNUITIES, DISABILITY, HEALTH, LIFE, LTC -1099 INCOME, 155HRS/MONTH. TAX PREPARATION REP IS AN IAR THROUGH PROSPERITY WEALTH MANAGEMENT, SAN RAMON, CA Rep is DBA Built Strategies Group, Inc. Rep is preparing taxes

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Kim Gin'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

Start date: 2015

Experience

Current

January 3, 2020 - Present

PROSPERITY WEALTH MANAGEMENT, INC.

Office #1: 9135 Mason Avenue, Morton Grove, IL 60053

RIA

CRD#: 174328

Morton Grove, IL

Current

January 4, 2006 - Present

FORTUNE FINANCIAL SERVICES, INC.

BD

CRD#: 42150

Morton Grove, IL

Past

July 15, 2015 - December 31, 2019

PROSPERITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 174328

MORTON GROVE, IL

Past

October 21, 2002 - December 13, 2005

WADDELL & REED

RIA

CRD#: 866

ELGIN, IL

Past

October 6, 2002 - December 13, 2005

WADDELL & REED

BD

CRD#: 866

OVERLAND PARK, KS

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".

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Arizona
(1/2/2019)

RR

California
(12/19/2011)

RR

Georgia
(1/2/2018)

IAR

Illinois
(1/3/2020)

RR

Maryland
(4/14/2011)

RR

Texas
(4/14/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

Series 63

Date: 10/18/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/30/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 6

Date: 10/4/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 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).

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Contact information

Main Address

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 791-4444

Established

Firm type

Fiscal year end

# of Employees

51

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,832
AUM (Assets Under Management)	$ 442,192,443

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

Jeffrey K. Gin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Kim Gin's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

PROSPERITY WEALTH MANAGEMENT, INC.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

PROSPERITY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/2002

Series 65

Date: 9/30/2002

SIE

Date: 10/1/2018

Series 6

Date: 10/4/2002

FINRA

Current Firm

PROSPERITY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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