Ryan J. Warner

PROSPERITY CAPITAL ADVISORS

Westlake, OH 44145

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CRD#: 4600110

Professional summary

Ryan J Warner, CFP® is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Westlake, Ohio and OAKWOOD CAPITAL SECURITIES, INC. located in St. Louis Park, Minnesota.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Ryan has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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.

1) Ryan Warner is the owner of an Ebay business. Mr. Warner spends roughly 10-15 hours per month on this activity during non-securities hours. This is not an investment related activity. 2) Ryan Warner is a registered representative and compliance consultant of Oakwood Capital Advisors, LLC, a registered broker-dealer and member of FINRA. Mr. Warner spends roughly one hour per month on this activity during non-trading hours. 3) Ryan Warner is a licensed insurance agent conducting business from his registered location. 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. Ryan Warner spends approx. 10 hrs/week during trading hours on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan J Warner'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

Experience

Current

June 28, 2018 - Present

PROSPERITY CAPITAL ADVISORS

Office #1: 30400 Detroit Road Suite 305, Westlake, OH 44145

RIA

CRD#: 156480

Westlake, OH

Current

October 20, 2022 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426

CRD#: 21000

St. Louis Park, MN

Past

February 10, 2020 - November 2, 2020

MERCAP SECURITIES, LLC

CRD#: 156607

ATLANTA, GA

Past

June 28, 2018 - March 29, 2024

VALOR CAPITAL MANAGEMENT, LLC

RIA

CRD#: 291213

Maple Grove, MN

Past

March 25, 2017 - June 15, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MINNETONKA, MN

Past

March 25, 2017 - June 15, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

MINNETONKA, MN

Past

February 4, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

MINNETONKA, MN

Past

May 17, 2013 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

MINNEAPOLIS, MN

Past

December 17, 2002 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

BLOOMINGTON, MN

Past

December 17, 2002 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

MINNETONKA, MN

Past

November 1, 2002 - December 9, 2002

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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.

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

IAR

Minnesota
(6/28/2018)

Minnesota
(10/20/2022)

IAR

Ohio
(6/28/2018)

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

Series 63

Date: 11/7/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/13/2013

General Securities Principal Examination

SRO Registrations

FINRA

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

202

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Ryan J. Warner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan J Warner's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKWOOD CAPITAL SECURITIES, INC.

MERCAP SECURITIES, LLC

VALOR CAPITAL MANAGEMENT, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PROSPERITY CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/2002

SIE

Date: 6/15/2018

Series 7

Date: 2/19/2013

Series 6

Date: 10/31/2002

Series 24

Date: 4/13/2013

FINRA

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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