Brian E. Booker

PROSPERITY WEALTH MANAGEMENT

Port Haywood, VA

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CRD#: 4649011

Professional summary

Brian Emerson Booker is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT located in Port Haywood, Virginia.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 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.

Brian Emerson Booker is an independent licensed insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Emerson Booker's 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®

None

Experience

Current

November 1, 2021 - Present

PROSPERITY WEALTH MANAGEMENT

RIA

CRD#: 305940

Port Haywood, VA

Past

November 26, 2019 - October 21, 2021

PROSPERITY WEALTH MANAGEMENT

RIA

CRD#: 305940

Richmond, VA

Past

June 8, 2009 - August 20, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

RICHMOND, VA

Past

September 14, 2004 - August 20, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RICHMOND, VA

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

Texas
(11/1/2021)

IAR

Virginia
(8/10/2022)

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 66

Date: 3/3/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/21/2004

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: 4/21/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/16/2010

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PROSPERITY WEALTH MANAGEMENT

N&B ASSOCIATES LLC | PROSPERITY WEALTH MANAGEMENT

CRD#: 305940 / SEC#: 801-117607

RIA

Registered Investment Advisory firm - (10/21/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/26/2021 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (8/10/2022 Approved)

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

Port Haywood, VA

Mailing Address

Phone number

(804) 467-6700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 57,200,000

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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Brian E. Booker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Emerson Booker's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERITY WEALTH MANAGEMENT

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2009

Series 63

Date: 1/21/2004

SIE

Date: 10/1/2018

Series 7

Date: 4/21/2009

Series 6

Date: 9/13/2004

Series 26

Date: 3/16/2010

Current Firm

PROSPERITY WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROSPERITY WEALTH MANAGEMENT

TRUST BUT VERIFY

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