Jermaine Guthrie

PROSPERITY - AN EISNERAMPER COMPANY | Senior Wealth Advisor

New York, NY 10017

Some features on this profile are disabled

CRD#: 4627005

Professional summary

Jermaine Guthrie, CFP®, who also goes by Jermaine Guthrie, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in New York, New York and DAI SECURITIES, LLC located in New York, New York.

Jermaine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jermaine has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Biography

Jermaine provides clients with comprehensive wealth management services to help them achieve their goals and provides integrated planning and strategies to help them grow and protect their wealth.

Prior to joining Mariner Wealth Advisors, Jermaine was financial planning director at Morgan Stanley. Before that, he worked at TIAA as a wealth management advisor.

Jermaine has a bachelor’s degree in economics from Stony Brook University.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Insurance Planning

Retirement Planning

Employee and Employer Plan Ben...

Socially Responsible Investing

Investment Planning

Tax Planning

Are you a "fiduciary"?

Yes

Aliases

Jermaine Guthrie

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 Jermaine Guthrie'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: 2014

Experience

Current

October 18, 2024 - Present

PROSPERITY - AN EISNERAMPER COMPANY

Office #1: 733 Third Avenue 11th Floor, New York, NY 10017

RIA

CRD#: 133777

New York, NY

Current

April 24, 2025 - Present

DAI SECURITIES, LLC

Office #1: 733 3rd Ave, New York, NY 10017

CRD#: 36673

New York, NY

Past

June 9, 2023 - September 27, 2024

MARINER WEALTH

RIA

CRD#: 140195

New York, NY

Past

June 9, 2021 - June 16, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Purchase, NY

Past

May 3, 2021 - June 16, 2023

MORGAN STANLEY

CRD#: 149777

Purchase, NY

Past

January 2, 2014 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

NEW YORK, NY

Past

September 14, 2011 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

July 13, 2004 - January 3, 2011

E*TRADE SECURITIES LLC

CRD#: 29106

SCARSDALE, NY

Past

March 31, 2003 - March 16, 2004

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

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".

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 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.

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

Florida
(4/24/2025)

IAR

New York
(10/18/2024)

New York
(4/24/2025)

Texas
(4/24/2025)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 12/26/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/12/2003

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: 3/27/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/20/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117

Mailing Address

Phone number

(410) 363-7211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	5,557
AUM (Assets Under Management)	$ 3,195,898,263

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

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jermaine Guthrie

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jermaine Guthrie's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

MARINER WEALTH

MORGAN STANLEY

MORGAN STANLEY

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

E*TRADE SECURITIES LLC

MAXIM GROUP LLC

Primary Firm SEC Registration

PROSPERITY - AN EISNERAMPER COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 12/26/2013

Series 63

Date: 4/12/2003

SIE

Date: 10/1/2018

Series 7

Date: 3/27/2003

Series 24

Date: 6/20/2007

FINRA

Current Firm

PROSPERITY - AN EISNERAMPER COMPANY

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

TRUST BUT VERIFY

Contact information

Similar Advisors